EPA
MANAGEMENT OF INTEIRAGENCY AGREEMENTS
AND INTERGOVERNMENTAL TRANSACTIONS
•ft
INTERAGENCY AGREEMENT
POLICY
COMPENDIUM
OFFICE OF ADMINISTRATION AND
RESOURCES MANAGEMENT
OFF ICE OF ADMINISTRATION
GRANTS ADMINISTRATKDN DIVISION
SEPTEMBER 1988
HEADQUARTERS LIBRARY
ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
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SEPT. 1988
TABLE OF CONTENTS
Page
Number
Introduction vii
Chapter 1 - MANAGING INTERAG1OTCY AGREEMENTS
Section I, Basic Information 51-1
Section II. Development and Approval of
Agreements 51-18
Section III. Post Approval Requirements 51-27
Appendix A - Official Agreement File 51-A
Appendix B - Agreement/Amendment Form 51-B
Chapter 2 - STATUTORY AUTHORITIES
Section I. ' Introduction . . 2.1-1
Section II. Authority for Agreements 2.II-1
A. The Economy Act 2.II-1
B. Independent Program Authority 2. II-2
C. The Intergovernmental Cooperation
Act. 2.11-2
D. The Federal Grant: and Cooperative
Agreement Act of 1977 2.11-3
Section III. Funds Responsibilities 2.III-1
Section IV. Program Authorities 2.IV-1
A. Pesticides Programs: Federal
Environmental Pesticides Control
Act Of 1972 ; 2. IV-1
-B. Toxic Programs: Toxic Substance
Control Act of 1S'76, as amended. ........ 2. IV-2
C. Water Programs: Federal Water
Pollution Control Act (Clean Water
Act), as amended 2. IV-4
D. Water Programs: Marine Protection,
Research and Sanctuaries Act of 1972... 2.IV-13
E. Water Programs: Safe Drinking Water'
Act of 1974, as amended 2. IV-15
F. R&D Programs: Noise Control
Act of 1972 2.IV-17
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TABLE OF CONTENTS (Cont.)
Page
Number
G. Solid Waste Programs: Resource
Conservation and Recovery Act of
1976 (Solid Waste Disposal Act),
as amended 2.IV-18
H. Air Programs: Clean Air Act 2.IV-23
I. Superfund Programs: Comprehensive
Environmental Response, Compensation,
and -Liability Act of 1980 (CERCLA),
as amended 2. IV-27
Appendix A - Sources 2.A-1
Chapter 3 - ADMINISTRATIVE LINKAGES
Section I. Delegations of Authority 3.1-1
Section II. Funds Control, Payment
Procedures, and Financial
Management 3.11-l
Section III. Audits 3.III-1
Section IV. Quality Assurance ". . 3.IV-1
Section V. Suspension and Debarment 3.V-1
Section VI. Patent and Data Rights 3.VI-1
Section VII. Federal Acquisition Regulation
(FAR) 3.VII-1
Section VIII. Automated Data Processing (ADP)
IAGS 3.VIII-1
Section IX. Superfund Cost Recovery 3.IX-1
Section X. Superfund Intergovernmental
Agreements 3 .X-l
Section XI. Detailing of Personnel 3 .XI-l
Section XII. IAG Tracking System - GIGS 3.XII-1
Chapter 4 - PROCEDURES FOR AGREEMENTS BETWEEN AGENCIES
Section I. Introduction 4 .1-1
Section II. Environmental Policy
Agreements 4.11-l
Section III. Mission Support Policy
Agreements -. . 4.III-1
Section IV. International Agreements 4. IV-1
Section V. Disbursement and Reimbursement
lAGs 4 . V-l
11
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SEPT. 1988
TABLE OF CONTENTS (Cont.)
Page
Number
A.
B.
C.
D.
E.
F.
6.
H.
I.
J.
K.
L.
Originating Office
Responsibilities
Originating Office Procedures
Grants Administration Division
Responsibilities
Grants Administration Division
Procedures ,
Regional Assistance Administration
Unit Responsibilities
Regional Assistance Administration
Unit Procedures
Cincinnati Financial Management
Center Responsibilities.
Cincinnati Financial Management
Center Procedures
Headquarters Budget Division,
Office of the Comptroller
Responsibilities
Budget Division, Office of the
Comptroller Procedures
Office of the Inspector General
Responsibilities
Office of the Inspector General
Procedures
Section VI. Allocation Transfers
Appendix A
Appendix B
Appendix C
Appendix D
Appendix E
Appendix F
- Completion of the IAG
Package ,
- Instructions for Receipt of
Regional IAG Identification
Numbers by E-Mail ,
- File Contents ,
- Forms \ ,
- Checklists
- Sample Letters and Memoranda,
4.V-1
4.V-2
4.V-16
4.V-16
4.V-23
4.V-23
4.V-30
4.V-30
4.V-33
4.V-33
4.V-34
4.V-34
4.VI-1
4.A-1
4.B-1
4.C-1
4.D-1
4.E-1
4.F-1
iii
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SEPT. 1988
LIST OF ATTACHMENTS
3-A
3-B
3-C
3-D
3-E
3-F
3-G
4-A
4-B
4-C
Excerpt from the Delegations Manual
IA6 Object Classifications
Guidelines for Implementing Patent Rights
Policy
FAR Subjects
IAG GIGS Data Input Sheet (E-Mail)
GIAB GICS Log
List of Available GICS Reports and
Examples(2)
Sample OFA E-Mail Memorandum...
EPA International Agreements...
Excerpts from OMB Circular A-34
Page
Number
3.1-10
3.II-8
3.VI-5
3.VI1-3
3.XI1-4
3.XII-5
3.XI1-6
4.11-10
4.IV-3
4.VI-8
IV
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SEPT. 1988
LIST OF FIGURES
Page
Number
1 Type of Interagency Agreements 3
2 Methods of Providing Funds Under
Interagency Agreements 6
2-1 Agreement Instrument-Decision Matrix 2.II-6
3-1 Listing of IAG Decision Officials 3.1-2
3-2 Authority to Execute Regional lAGs 3,1-9
3-3 Summary of Documents Suggessted, But
Not Required In Site Files 3 . IX-2
3-4 Summary of Documents Suggested To Be
In Site Files. .-. 3.IX-3
3-5 Phases of GIGS Processing 3 .XII-ll
4.II-9
4-1 Environmental Policy Agreement
Responsibilities
4-2 Service Oriented Policy Agreement
Responsibilities 4. III-8
4-3 Disbursement IAG Processing
(Headquarters and Labs) Origination Phase 4.V-35
4-4 Disbursement IAG Processing (Headquarters
and Labs) Execution Phase 4.V-36
4-5 Disbursement IAG Processing (Headquarters
and Labs) Closeout Phase 4.V-37
4-6 Reimbursement IAG Processing
(Headquarters and Labs) Origination Phase 4.V-38
4-7 Reimbursement IAG Processing . ~
(Headquarters and Labs) Execution Phase 4.V-39
4-8 Reimbursement IAG Processing
(Headquarters and Labs) Closeout Phase 4.V-40
4-9 Disbursement IAG Processing (Regions)
Origination Phase 4.V-41
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LIST OF FIGURES (Cont.)
Page
Number
4-10 Disbursement IAG Processing (Regions)
Execution Phase 4.V-42
4-11 Disbursement IAG Processing (Regions)
Closeout Phase 4-V. 43
4-12 Reimbursement IAG Processing (Regions)
Origination Phase 4.V-44
4-13 Reimbursement IAG Processing (Regions)
Execution Phase 4.V-45
4-14 Reimbursement IAG Processing (Regions)
Closeout Phase 4.V-46
4-15 Transfer-Out IAG Processing
(Headquarters) 4.VI-4
4-16 Transfer-Out IAG Processing (Regions)
Origination Phase 4 .VI-5
4-17 Transfers-Out IAG Processing (Regions)
Execution Phase 4.VI-6
4-18 Transfer-Out IAG Processing (Regions)
Closeout Phase 4. Vl-7
VI
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INTRODUCTION
Purpose and Contents
The purpose of. this Compendium is to provide all
administrative information related to EPA interagency
agreements (IAGs) in one place. The information contained
in the Compendium was prepared with the efforts and
cooperation of many offices within the Environmental
Protection Agency to ensure that accurate and complete
explanations of laws, regulations, decisions, policies,
procedures, and preferred management practices have been
included. There are four chapter's in the Compendium, each
divided into'several sections. Chapter One summarizes the
detailed information presented in Chapters Two through
Four. Information on all laws and statutes which govern
participation in and management and processing of IAGs is
included in Chapter Two. Chapter Three presents the
administrative linkages—or requirements of offices
outside of the Grants Information and Analysis Branch
(GIAB)—which impact IAG processing and management.
Chapter Four includes detailed procedures for processing
policy agreements and agreements for goods and services.
This information should be useful for training new
employees, developing sound, legal agreements, and
minimizing the time and effort d«voted to processing IAGs.
Revisions
To ensure that each copy of the Interaqency Agreement
Policy and Procedures Compendium is current, revised dated
sections of the Compendium will he issued as necessary
with numbered transmittal sheets noting the changes being
made. To allow Compendium users to identify missing
revisions, receipt of each transmittal should be logged in
the "Checklist of Transmittal Sheets" at the end of this
document.
Additional Copies
Copies of this Compendium were originally distributed
to Headguarters and Regional program and administrative
units and the EPA laboratories. Additional copies may be
requested from GIAB, Grants Administration Division,
PM-216, FTS 475-8270.
VI1
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INTERAGENCY AGREEMENT POLICY .AND PROCEDURES COMPENDIUM
CHAPTER: 1
TITLE: Managing Interagency Agreements
PURPOSE:
The purpose of this chapter is to define terminology
associated with Interagency Agreements (lAGs) and explain
when to use this type of instrument. This chapter
provides an overview of the responsibilities of the
various offices involved in the development and approval
of lAGs, as well as post-approval requirements. This
chapter was written for incorporation in the Assistance
Administration Manual (Chapter 51).
CONTENTS:
Section 1 - Basic Information
- General
- Purpose
- Authority
- Applicability and Use
- Definitions
- Responsibilities
- IAG Policy
Section 2 - Development and Approval of Agreements
- Initiation of Proposed Agreements
- Procedures for Entering Into
Agreements
- Numbering of Agreements
Section 3 - Post-Approval Requirements
- Programmatic Oversight:
- Management Oversight
Appendices
A. Official Agreement File
B. Agreement/Amendment; Form
Questions concerning this chapter should be directed to
the Grants Information and Analysis Branch (GIAB), Grants
Administration Division (GAD), FTS 475-8270.
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INTERAGENCY AGREEMENTS (IAGe)
CHAPTER
TITLES
CHAPTER
NUMBERS
MANAGING INTERAGENCY AGREEMENTS 51
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CHAPTER 51 - MANAGING ICNTERAGENCY AGREEMENT;
TABLE OF CONTENTS
PARAGRAPH
PARAGRAPH
NUMBERS
SECTION 1 - BAS3:C INFORMATION
General 1
Purpose 2
Authority 3
Applicability and Use 4
Definitions 5
Responsibilities 6
IAG Policy 7
SECTION 2 - DEVELOPMENT AN-3 APPROVAL OF AGREEMENTS
Initiation of Proposed Agreement:? 1
Procedures for Entering into Agreements 2
Numbering of Agreements 3
SECTION 3 - POST-APPROVAL REQUIREMENTS
Programmatic Oversight , 1
Management Oversight 2
Financial Oversight 3
Closeout Procedures for lAGs 4
APPENDICES
APPENDIX APPENDIX
TITLES NUMBERS
Official Agreement File 51-A
Interagency Agreement/Amendment Form
(EPA Form 1610-1, Revised 5-88) 51-B
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CHAPTER 51 - MANAGING IMTERAGENCY AGREEMENTS
SECTION 1 -BASIC INFORMATION
1. GENERAL.
a. What are Interaaencv Agreements? An interagency
agreement is a written agreement between Federal agencies
under which goods or services are provided in exchange for
funds, or where services are provided without the exchange of
funds. An intergovernmental agreement is a written agreement
between a Federal agency and a State or local government
under which the Federal agency provides special or technical
services to the State or local government in exchange for
monetary reimbursement. The f ol Lowing agreements are not
lAGs and are not covered bv the '.policies and procedures off
Chater;
(i) purchase orders or job orders issued to the
General Services Administration for space rental, supplies,
and services;
(ii) Orders for printing and related services
issued to the Government Printing Office;
(iii) Orders to the Office of Personnel Management
for the training of EPA employees;
(iv) Services provided by the Small Business
Administration under Section 8(a]i of the Small Business Act;
(v) Assignments of personnel under the
Intergovernmental Personnel Act; and
(vi) State-EPA environmental policy agreements
(broad agreements between EPA and individual States which
identify environmental problems, objectives, and priorities
and provide for coordination and integration among covered
environmental programs) .
b. Distinct Projects. Each IAG must be an independent,
distinct project. It must have u clearly defined objective,
and the activities under the agreement must all serve that
objective throughout the project period. Unrelated activites
or separate projects may not be Included under one IAG.
c. Categories of Inter agency Agreements. EPA lAGs may
be divided into two major categories (see Section 2, paragraph
3. for the effect of the different IAG categories on IAG
numbering) . The two major divisions are:
Policy Agreements
and
Agreements for Goods or Services
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(1) Policy Aareeiqent or Memorandum of Understanding.
An agreement between EPA and another Federal agency which
sets forth basic policies and procedures governing their
relationship on matters of mutual interest and responsibility.
There is no exchange of funds under this type of agreement.
(2) Agreement for Goods or Services. An agreement
between EPA and another Federal agency in which one agency
provides goods or services to another agency in exchange for
funds, or in which the parties have a mutual need for the
goods or services and share in the cost of the work performed
under the agreement. Agreements for goods and services fall
into one of two subdivisions, depending on whether funds flow
into or out of EPA. Funds flowing out of EPA may involve
either a disbursement agreement or an allocation transfer-out
agreement; and funds flowing into EPA may involve either a
reimbursement agreement or an allocation transfer-in agreement,
While all ZAGs require an allowance holder/program office
funding decision and involve the Agency's internal finance
and accounting control systems, there is a fundamental
difference between allocation transfers and the two other
types of XAGs. Reimbursement and disbursement XAGs provide
for funds exchange and management at the allowance holder
level. Allocation transfer, on the other hand, involves the
transfer of obligational and spending authority at the
appropriation level from one agency to another. Under
allocation transfer the allowance holder surrenders a part of
its allowance (often a large dollar amount) to another agency.
Also, a portion of the allocation transfer process occurs
outside the Agency's financial management systems (at the
Treasury). This distinction has important ramifications.
Allocation transfers have special financial reporting require-
ments and entail special accounting procedures. This type of
IAG may only be used with the prior approval of the EPA Budget
Division, Office of the Comptroller. Such approval is needed
because either (1) EPA is giving part of an Agency allowance
to another agency (Funds-Out), or (2) EPA requires adequate
reimbursable authority (Funds-ln).
The types of lAGs are discussed below (see Figure 1):
(a) FUNDS-IN;
(1) Reimbursement Agreement; An agreement
in which EPA either provides goods or services to another
Federal agency or provides services to a State or local
government and is reimbursed for its expenses. Under a
reimbursement agreement, EPA uses reimbursable authority
provided by OMB to perform agreement activities. This
authority is conveyed to the originating office by the Budget
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Figure Jl
Types of Interagency Agreements
Direction
of Fund Flow
Funds into EPA
Funds out of EPA
Types of TAGs
ALLOCATION
TRANSFEFl-IN
ALLOCATION
TRANSFER-OUT
REIMBURSEMENT
- Advance Payment
- Repayment
DISBURSEMENT
• Advance Payment
- Repayment
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Division, Office of the Comptroller through a reimbursable
advice of allowance. These funds are available only for
incurring obligations for the reimbursable activity.
a. Federal Agency Agreement; An agree-
ment in which EPA provides either goods or services to another
Federal agency and is reimbursed for its expenses.
b. Intergovernmental Agreement; An agree-
ment in which EPA provides services to a State or local govern-
ment and is reimbursed for its expenses. Under intergovern-
mental agreements funds flow in only one direction, from
State or local governments to EPA. The transfer of funds to
State or local governments must be under assistance agreements
(e.g. grants or cooperative agreements) or procurement contracts.
Xany intergovernmental agreements provide State and local
governments with access to EPA's environmental data bases
(STORET, AIRS, HWDMS, etc).
(2) Allocation Transfer-Lin; An agreement in
which EPA delivers goods or services on behalf of another
Federal agency, and the other agency transfers obligational
and spending authority to EPA so that EPA can pay for its
expenses.
(b) FUNDS-OUT!
(1) Disbursement Agreement; An agreement
in which another Federal agency delivers goods or services to
EPA, and EPA disburses funds to pay for the other agency's
expenses.
(2) Allocation Transfer-Out; An agreement in
which EPA transfers appropriated funds to another Federal
agency. Typically, the allocation transfer includes the
delegation of EPA obligational and spending authority to the
receiving agency to carry out activities directly in support
of EPA. However, if authorized by law, there may be transfers
to another agency outside the Economy Act (See paragraph 3b-
Statutory Authority) .that do not directly benefit EPA. For
example. Congress may, for reasons of efficiency, give EPA an
appropriation that includes funds specifically designated for
another Agency's use. Whether EPA delegates spending
authority, or simply transfers funds, EPA remains responsible
for the "parent" appropriation for budget and reporting purposes.
d. Method of Payment. There are two ways in which EPA
may make or receive payments for goods or services under
reimbursement and disbursement lAGs. Note: Allocation
transfer provides funds at the appropriation level - there
is no payment or repayment occuring - see Figure 2. Each
payment method is discussed below:
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(A
J!
O)
b.
3
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2
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«•» 4)
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(1) Repayment. EPA and a number of other agencies
receive reimbursable authority from OMB and do not require
advances to perform work under an agreement. One agency
performs the work specified in the agreement and on a periodic
basis submits a request for payment to the other agency for
costs incurred. The request is reviewed for conformance with
the agreement and other applicable requirements. If the
request is in order, payment occurs.
(2) Advance Payment. Certain agencies without reim-
bursable authority fund reimbursable activities from special
working fund accounts. These agencies must receive payment
in advance to perform work under an IAG. The agency receiving
the advance will submit reports periodically to the other
agency on the status of costs incurred under the agreement,
and these reports will be used as a basis to liquidate the
advances.
2. PURPOSj;. This Chapter prescribes policies and procedures
for the development, execution, administration and closeout
of lAGs between the Environmental Protection Agency and other
Federal agencies and State and local governments.
3. AUTHORITY.
a. Organizational Authority. The EPA Organization and
Functions Manual assigns responsibility for the management of
lAGs to the Assistant Administrator for Administration and
Resources Management and to the Director of the Office of
Administration (see Chapter 3, Section I of the IAG Policy
and Procedures Compendium). Authority regarding the execution
of lAGs is set forth in the Delegations Manual, Chapter 1-11.
This authority provides that:
(1) The authority to enter into (execute) lAGs
originating in Headquarters Offices is delegated to the
Assistant Administrator for Administration and Resources
Management, except for certain emergency situations under the
Superfund program. In those situations (see Section 2,
paragraph 3d(2)), this authority is delegated to the Assistant
Administrator for the Office of Solid Waste and Emergency
Response (AA/OSWER).
(2) The authority of the Assistant Administrator
for Administration and Resources Management to enter into
lAGs, except environmental policy agreements, is redelegated
to the Director, Grants Administration Division (GAD). ,
(3) The authority of the Assistant Administrator
for Administration and Resources Management to enter into
environmental policy agreements is redelegated through the AA
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ASSISTANCE ADMINISTRATION 5700
for External Affairs to the Director, Office of Federal
Activities (OFA). OFA reviews and concurs on MOUs prior to
final execution by the other agency.
(4) The authority to enter into (execute) lAGs
originating in Regional Offices is delegated to the Regional
Administrators and may be redeLagated to the Division Director
level.
b. ..Statutory Authority. JSach IAG must be authorized
by specific statutory authority, Policy agreements, since
they do not involve any exchange of funds, require only
statutory "cooperation" authority for the agreement's
underlying activities. The Economy Act of 1932, as amended
(31 USC 1535), which authorizes the provision of goods and
services by one Federal agency 1:o another, is generally used
as the authority for agreements between EPA and other Federal
agencies. Both agencies must have authority for the
underlying activities carried out in an Economy Act IAG. In
some cases, EPA has independent program authority to enter
into such agreements in addition to the Economy Act. Where
the use of independent program authority is necessary,
project officers should consult with their Regional or
General Counsel's Office.
The Intergovernmental Cooperation Act (ICA) (35 USC
6501) is generally used as the a.uthority for agreements
between EPA and State and local governments. The ICA permits
Federal departments and agencies to provide special or
technical services authorized-by law to State and local units
of governments (refer to OMB Circular A-97). Intergovern-
mental agreements between EPA and State and local governments
must be only Funds-In agreements; EPA may not enter into a
Funds-Out agreement with a State or local government. Disburse-
ment of Federal funds to state or local governments is
accomplished through an assistance relationship (i.e., a
grant or cooperative agreement) or through a procurement
contract.
4. APPLICABILITY AND USE.
a. Applicability. These policies and procedures apply
to all EPA organizations. They are intended to be applied
consistently throughout the Agency, yet to be flexible enough
to accommodate the unique requirements of each IAG. This
Chapter does not govern certain relationships listed in Section
1 of this Chapter in paragraph la.
b. Use. This Chapter serves as a basic reference for
EPA officials who are responsible for and/or active in the
development, negotiation, approval, and management of lAGs.
It is intended to provide guidance on how to administer lAGs,
but it is subordinate to applicable Agency regulations and
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related statutes, Executive Orders, OMB circulars, etc. This •
document does not provide programmatic and technical informa-
tion for specific agreements.
5. DEFINITIONS.
a. Action Official. The EPA official who is authorized
to execute lAGs and to initiate the obligation of funds on
behalf of EPA.
b. Allocation Transfer. The transfer of bbligational
and spending authority at the appropriation level from one
Federal agency to another.
c. Amendment. Any significant change in an IAG such
as a change in the scope of work to be performed, project
period, funding level, funding terms, or other major provision.
d. Budget Period. The period of time for which the
activities under an IA6 are funded. The budget period may not
exceed the project period.
e. Commitment.
of their obligation.
The reservation of funds in anticipation
f. Commitment Notice (EPA Form 2550-9). The notifica-
tion to the Agency's funds control systems of the commitment
of funds to a disbursement IAG using the repayment or advance
payment methods. A valid commitment notice must show a
commitment clerk's approval signature.
g. Decision Official. An EPA official, or his designee,
who is authorized to approve the substantive merits.of the
activities proposed under the agreement, the technical/
programmatic terms and conditions of an IAG, and the commitment
of funds to support the IAG.
h. Disbursement Agreement. An IAG under which EPA
agrees to pay another agency for a service or product (i.e.
Funds Out).
i. Federal Agency. Any department or independent
establishment of the Government or any bureau or office there-
of, but not the District of Columbia or its agencies. (Note:
a nongovernmental organization operating a Government-owned,
contractor operated (GOCO) facility will be considered as a
component of the governing Federal agency. Therefore, lAGs
should be entered into with the governing Federal agency and
not the GOCO. Examples of such organizations are the con-
tractor operated Argonne National Laboratory of the Department
of Energy, the Jet Propulsion Laboratory of NASA, and the
Radford Army Ammunition Plant of the Department of the Army.)
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ASSISTANCE ADMINISTRATION r 5700
j. Obligation. The official action which creates a
liability on the part of EPA to pay for goods or services
obtained through a disbursement IAG. An obligation is created
when both agencies have executed the agreement.
k. Policy Agreement. An IAG which sets forth basic
understandings or relationships between EPA and another
Federal agency in areas of mutual interest and responsibility,
and under which no exchange of funds occurs. An environmental
policy agreement is an IAG which involves an 'environmental
policy matter requiring the review of EPA's high level policy
officials or their designees* Mission support policy agree-
ments are of an administrative nature for activities in
support of EPA's mission and do not require such review.
1. Prolect. The activities to be carried out under an
IAG. Each project must have a clearly defined objective and
include only activities germane to that objective.
m. Pro1ect Officer. The programmatic official who is
responsible for the day-to-day management of the agreement.
n. Project Period. The period during which activities
under the agreement are to be performed, defined with a start-
ing date and an ending date. A project period may not exceed
five (5) years unless justified by the,originating office and
approved by both the EPA Decision and Action Officials.
o. Reimbursement Agreement. An IAG under which EPA
agrees to deliver goods or services and is to receive payment
in return (i.e. Funds In).
p. State oy Local Government:.
(1) "State*1 means a St«ite of the United States/
the District of Columbia, a territory or possession of the
United states, and an agency or instrumentality of a State
but does not mean a local government of a State.
(2) "Local government" means a unit of general
local government, a school district, or other special district
established under State law.
6. RESPONSIBILITIES. This paragraph sets forth responsibi-
lities within EPA for the development, execution, and manage-
ment of lAGs.
a. It is the responsibility of the Assistant Administrator
for Administration and Resources Management, or his designee,
to:
(1) Develop and implement agency-wide policy and
procedures for lAGs;
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ASSISTANCE ADMINISTRATION 5700
(2) Assist in the development of lAGs as requested
by the originating office;
(3) Review, approve, and execute all EPA agreements
or amendments which originate in Headquarters (including Head-
quarters Laboratories) and which involve payment or receipt of
funds;
(4) Assure compliance with the provisions of this
Chapter of the Assistance Administration Manual:
(a) Establish and maintain systems for admin-
istrative management, internal control and reporting for all
XAGs;
(b) Maintain the official IAG file for agree-
ments originating in Headquarters;
(c) • Conduct periodic monitoring of lAGs; and
(d) Close out the lAGs.
b. It is the responsibility of Associate Administrators,
Assistant Administrators, and Directors of Headquarters
Staff Offices and Laboratories, the Inspector General, or
their designees, to:
(1) Establish procedures to assure that agreements
are developed and managed in accordance with the provisions
of this Chapter;
(2) Determine that the proposed agreements are
consistent with EPA's mission;
(3) Designate project officers and promptly inform
the Grants Administration Division and the Financial Management
Division of changes in project officers;
(4) Develop and negotiate agreements within their
respective program areas;
(5) Provide the Grants Administration Division with
certain basic data on each agreement as required by EPA Form
1610-1;
(6) Submit all lAGs, except for environmental
policy agreements, to the Grants Administration Division for
review, approval, and execution; and
(7) Submit all environmental policy agreements to
the Director, Office of Federal Activities for review and
concurrence.
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ASSISTANCE ADMINISTRATION 5700
;
c. It is the responsibility of Regional Administrators,
or their designees, to:
(1) Review, approve and execute all XAGs or amend-
ments which originate in Regional Offices;
(2) Designate the unit within the Regional Office
which is responsible for conducting the administrative review
and management of lAGs;
(3) Establish procedures to assure that agreements
are developed and managed in accordance with the provisions
of this Chapter;
(4) Determine that the proposed agreements are
consistent with EPA's mission;
(5) Designate project officers; and
(6) Develop and negotiate agreements within their
respective areas of responsibility.
d. It is the responsibility of the project officer to:
(1) Provide technical and managerial oversight of
the agreement, including coordination with other interested
offices within EPA. Maintain liaison with other agency to
insure timely acceptance and implementation of the IAG;
(2) Maintain the orginating office file (for
site-specific IAG, may include the site file). At a minimum,
this file should contain copies of those items listed in
Appendix A;
(3) .Negotiate the agreement, complete EPA Form
1610-1 (see Appendix 51-B) Interagency Agreement/Amendment,
and obtain required originating office approvals;
(4) Assemble an interagency agreement package
(which includes the agreement, supporting information, a copy
of the Commitment Notice if applicable, and a decision memo-
randum signed by the appropriate Decision Official or designee)
and submit the package for administrative review, approval,
and execution;
(5) Assure that the originating office informs the
Cincinnati Financial Management Center (CFMC) of the commit-
ment, either by submission of a Commitment Notice or by enter-
ing the commitment Into an electronic system, such as "First
Up";
(6) Record the cost of all work performed by EPA
in reimbursable accounts, and fill out and send EPA Form
2550-8 (Report of Reimbursable Services Rendered) to CFMC in
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ASSISTANCE ADMINISTRATION 5700
order to assure that EPA bills other agencies for work it has
performed;
(7) Receive and review detailed cost information
submitted by other Federal agencies. This information must
be provided on a projact-by-project basis and must break down
the information into the categories provided in the Interagency
Agreement/Amendment—EPA Form 1610-1, Item 22;
(8) Approve vouchers received from CFMC requesting
payment for goods or services provided to EPA, after determin-
ing that performance is in accordance with the agreement, and
forward those vouchers to CFMC for payment. Within one week
of receiving a voucher, the project officer must approve the
voucher for payment or notify CFMC that payment should be
withheld. Note: For Regional lAGs the Regional IAG unit may
also review vouchers and cosign them; and
(9) Upon completion of the project:
(a) Take steps and make recommendations
to the Property Management Section, Facilities Management and
Services Division, or to the regional property management
office regarding final disposition of equipment and personal
property, and
(b) Notify IAG administration office
that the closeout can occur.
7. TAG POLICY. The following represent basic policies
applicable to interagency agreements:
a. Requirement for Distinct Agreements. Each IAG must
be a distinct project with a clearly defined objective. The
Action Official (or Regional Administrator) will not approve
lAGs which combine separate projects, or include activities
that are unrelated or that do not serve the same objective.
This requirement does, not preclude the use of task orders;
when appropriate, e.g., when an agreement previously obligated
funds and authorized activities, but left activities to be
carried out on an "as needed" basis. The originating office
and GAD (or the designated Regional administrative unit) will
consult on whether a new agreement is required, but GAD's (or
the regional unit's) decision shall be final.
An example of "task order" lAGs are the Superfund "generic"
lAGs. Superfund generic lAGs are used between EPA and other
agencies in the early stages of site activity in lieu of
site-specific lAGs. A generic IAG is one in which bulk fund-
ing is provided each fiscal year to another agency for future
work (usually in the short term) for which site-specific
assignments have not yet been identified. The scope of work
to be done is repetitive in nature (such as technical
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ASSISTANCE ADMINISTRATION 5700
assistance or first phase design) and is usually for a small
dollar value (less than $10,000 per site).
b. Detailed Cost Information. EPA policy requires that
requests for payment under disbursement agreements must provide
detailed cost information concerning work performed by other
Federal agencies. This information must be provided on a
project-by-project basis and must break down the information
into the categories provided in the Interagency Agreement/
Amendment-EPA Form 1610-1, Approved Budget*
c. Preference for Commercial! Sources. The Government
will not, as a matter of policy, start or carry on any
commercial-industrial activity to provide a service or product
for its own use if such product or service may be procured
from private enterprise through ordinary business channels
(Office of Management and Budget Circular No. A-76). This
general policy establishes a presumption in favor of Government
procurement from commercial sources, with certain exceptions
(e.g., national security, costs, and unfeasibility).
d. Selecting IAG As An Instrument. Subject to the
determinations in c. above, an interagency agreement shall be
negotiated whenever:
(1) EPA and another Federal agency agree to
provide goods or services in exchange for monetary reimburse-
ment,
(2) EPA agrees to provide services to a State or
local government (intergovernmental agreement), or
(3) EPA enters into ox- extends a relationship with
a Federal agency to assign or reassign responsibilities and/or
establish interagency policies or understandings on matters
of joint interest. An IAG may not be used to circumvent
travel or personnel ceilings or tJie requirements of the-Federal
procurement regulations.
e. Proleet Period. An agreement shall be written to
include the entire period for which performance is required
or goods or services are to be delivered, defined with specific
starting and ending dates.
f. Equipment and Personal Property. An agreement which
requires the furnishing or acquisition of nonexpendable equip-
ment or personal property (items costing $1,000 or more)
shall identify the equipment or property, when it is to be
furnished or acquired, and shall state the agency's approval
of such acquisitions. The supplying agency (the agency per-
forming the acquisition) shall be responsible for maintaining
an inventory of the property. An inventory shall be submitted
to the other agency within thirty days of the completion of
the work under the agreement and as otherwise required by the
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ASSISTANCE ADMINISTRATION 5700
terms of the agreement. Disposition recommendations shall
accompany the final inventory. The project officer shall
consult with the appropriate property management staff in the
development of disposition recommendations which comply with
6SA procedures. Title to property furnished by EPA or pur-
chased under a Fund-Out agreement shall be vested in EPA.
However, conditions governing jointly-funded equipment or
property shall be mutually determined by EPA and the other
agency. Where nonseverable facilities or other permanent
improvements are to be erected on or affixed to non-Government-
owned real property, the approvals required by the Contracts
Management Manual shall be obtained.
g. Interaaencv Agreement Funds^ When funds are
transferred under an LAG as an Economy Act transaction, they
retain all the limitations on their use which would have
applied if they had not been transferred. For example, inter-
agency agreement funds under the Economy Act must be obligated
by the receiving agency within their period of availability.
For non-Economy Act lAGs, in contrast, funds are obligated
upon execution of the agreement. The budget period depends
on the appropriation which provides the funds. Certain funds
are available for one year only, others for two years, and
some funds have no such availability limitation (no-year
funds). Also, in order to transfer funds under an Economy
Act IAG, both the transferring and receiving agencies must
have statutory authority for the activity(ies) to be funded.
n* Recovery of Agency Indirect ExpensesT An agreement
for goods or services in which EPA performs work for another
Federal agency shall include as part of the cost, the indirect
expenses allocable to the work to be performed (see Controller
General's Opinion B-136318 dated January 21, 1977). EPA will
determine indirect costs for reimbursment lAGs on a project
by-project basis. GAD and the originating office will determine
these costs jointly.
If indirect costs are to be paid by EPA under a Funds-Out
IAG, the IAG must include an appropriate statement in "Special
Conditions" of the Interagency Agreement/Amendment (EPA Form
1610-1). Statements that should be used are included in
Comptroller Policy Announcement No. 87-10 dated 2/10/87 and
Appendix 4-A of the IAG Policy and Procedures Compendium.
That statement, to be agreed to by the other agency, either
certifies that: (1) either the other agency's indirect costs
are consistent with GAO rules or that statutory authority
exists for charging other than the incremental costs of
performance; or (2) a review of those costs by its agency
auditors will be requested.
i. Cost Sharing. Where cost sharing is a condition to
entering into an agreement, the agreement shall specify the
share that each party shall pay. The amount of cost funded
by EPA shall be proportional to the Agency's interest in the
project, as determined by the originating program office.
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ASSISTANCE ADMINISTRATION 5700
j. Agreements Involving Extramural Instruments. Where
the objective of the agreement is to be accomplished through
an extramural instrument such as a grant or a contract, and
when such information is available at the time of preparation,
the agreement shall include the name of the grantee or con-
tractor, the grant or contract amount, and the percentage of
the cost to be funded by EPA. T!ae agreement shall also
state that both agencies have the independent program authority
other than the Economy Act to enter into the IAG and comparable
assistance authority for such an extramural instrument.
Also, the award of such contracts must comply with the Federal
Acquisition Regulation (FAR) and The Competition in Contract-
ing Act.
k. Personnel Details. Detailing Federal personnel
under an interagency agreement for a period of more than 30
days must be preceded by the preparation of a Request for
Personnel Action (SF-52) and the preparation and approval of
a Notice of Personnel Action (SF 50) . All IAG packages (Funds-
In or Out) concerning details mujst contain an SF 52 and 50.
1. Amendment to an Agreement t An amendment to an agree-
ment must be prepared, submitted, and processed like an
original agreement. Any significant change in the scope of
work, project period, funding level, funding terms, or other
major provision of an IAG requires an amendment. An amendment
package must include a decision memorandum and if applicable
a commitment notice.
m. Intergovernmental ^Aare«aments with State or Local
Governments. EPA will not enter into disbursement agreements
with State or local governments. State or local governments
may acquire specialized or technical services (see OMB Circular
A-97) from EPA through intergovernmental agreements, but EPA
mav not obtain goods or services from State or local govern-
ments by such agreements. Rather, a grant, cooperative agree-
ment or procurement contract will be negotiated to provide
assistance to or to procure from State or local governments.
When the objective of an intergovernmental agreement is to be
accomplished through an EPA contractor, the agreement must
contain the following provisions;;
(1) The appropriate statutory cooperation authority;
(2) Project is of mutual interest to EPA and the
State or local government;
(3) EPA's interests and needs are served by the
collaborative effort;
(4) EPA retains control over relationship with
its contractor and all contractor products; and
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ASSISTANCE ADMINISTRATION
5700
(5) State or local government is underwriting its
share of the contractor's costs, and EPA is contributing its
share of costs.
n. Audit. It is EPA policy that all lAGs in which EPA
participates are subject to audit. Should EPA have concerns
about the manner in which another agency is carrying out a
Funds-Out agreement, EPA's Office of the Inspector General
(OIG) may request that agency's OIG or Audit Office to audit
the agreement. Similarly, the EPA OIG may be requested to
conduct an audit of Funds-In agreements being carried out by
EPA.
o. Required Documentation. lAGs must contain the infor-
mation required by this Chapter. However, it is EPA policy
to avoid unnecessary paperwork. Therefore, when a portion of
a proposed amendment is identical to provisions in a previously
approved action for that IAG, it is not necessary to duplicate
those provisions in the proposed amendment. Instead, a simple,
specific reference to the previous IAG provision will suffice.
p. Quality Assurance. It is EPA policy that all environ-
mentally-related measurements and data collected and used in
EPA interagency agreements be scientifically sound, defensible,
and of known, acceptable, documented quality. All EPA lAGs
which involve environmentally-related measurements or data
generation must include a quality assurance program acceptable
to the Decision Official. Therefore, the IAG package must
include a quality assurance statement from the originating
office.
q. Ethj.es and Conflicts of Interest. All EPA employees
must be aware of the Agency's ethical standards and follow
them in the administration of lAGs. If questions arise,
refer to: 40 CFR Part 3, "Employee Responsibilities and Conduct",
February 29, 1984, or EFA's "Guidance on Ethics and Conflicts
of Interest", February, 1984; or contact the appropriate EPA
Deputy Ethics Official.
r. Minority Business Utilization. In accordance with
CERCLA, as amended (Section 105(f), P.L. 99-499), any Federal
agency awarding contracts, grants or cooperative agreements
utilizing Superfund monies shall consider the availability of
minority contractors for participation in contracts. This
will include, but is not limited to: contracts, subcontracts,
SBA 8(a) awards, and any subagreements.
Each agency receiving Superfund IAG monies from EPA must
report on minority contractor participation and efforts taken
by that agency to encourage (outreach endeavors) the utiliza-
tion of minority firms. For KQ lAGs the reports must be sent
to EPA's Office of Small and Disadvantaged Business Utilization
(A-149C) at the conclusion of each fiscal year. For regional
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ASSISTANCE ADMINISTRATION
5700
lAGs the other agency reports should be sent to the appropriate
EPA regional office Minority Business Enterprise Coordinator.
Federal agencies should report or EPA Forms 6005-3, "Superfund
Minority Contractors Utilization Report," and 6005-3A, "Super-
fund Minority Contractors Utilization Report - Part 2" (See
Appendix 4-D, EPA IA6 Policy and Procedures Compendium).
Each agency, including EPA, receiving funds under lAGs for
non-Superfund work will report on minority business utiliza-
tion in accordance with its own established procedures (e.g.,
to the Minority Business Development Agency (MBDA) using MBDA
Form 91).
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ASSISTANCE ADMINISTRATION
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SECTION 2 - DEVELOPMENT AND APPROVAL OF AGREEMENTS
1. INITIATION OF PROPOSED AGREEMENTS.
a. General. lAGs will be originated, negotiated, and
developed by program offices. For lAGs which originate in
Headquarters, the Grants Administration Division will review
agreements (except for environmental policy agreements) for
compliance with statutory, regulatory, and administrative
requirements. For lAGs which originate in Regional Offices,
the Regional Administrator will designate a unit to perform
this review (For ease of reference, these procedures refer to
the Regional review unit as the Regional Assistance Adminis-
tration Unit or RAAU. However, the Regional Administrator
may designate any appropriate unit to perform this function.)
Once an agreement is determined to have met those legal and
administrative requirements, the Action Official in GAD
(except in the case of environmental policy agreements) or
the Regional Administrator, will sign the agreement for EPA.
b. Policy Agreements
(1) Environmental Policy Agreements focus pri-
marily on environmental policy issues (e.g. multi-agency
steering group). All proposed environmental policy agreements
which originate in Headquarters will be forwarded to the
Office of Federal Activities (OFA) for policy review and
concurrence. The Office of Federal Activities will review
the proposal, and return it to the originating office either
signed by the Director, OFA or with a written indication of
the need for revision. Policy agreements originating in the
Regional Offices will be handled in the same manner as other
lAGs.- In order to maintain a consistent IAG numbering system
and to insure coordination between policy agreements and
agreements for goods and services, OFA and RAAU will obtain an
IAG number from GAD (see Section 2, paragraph 3) before
concurring with policy agreements and returning them to the
originating office.
(2) Mission Support Policy Agreements are
defined as those of an administrative nature for activities
in support of EPA's mission (e.g., aircraft or ship main-
tenance services). GAD will process and execute all such KQ
policy lAGs. The GAD will send OFA a copy of each such IAG
for review and comment prior to execution. For this type of
IAG, GAD will coordinate and present any significant policy
issues to senior management for resolution and will maintain
the official file.
Such policy agreements originating in the Regional
Offices will be handled in the same manner as other lAGs.
The RAAU will maintain the official file and will send GAD a
copy of each executed IAG for GAD's files and GICS input.
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c. Determination to enter into an IA(?t Before the
originating office prepares an interagency agreement, it
must determine that the agreement: is necessary and appropriate
(see Section 1, paragraph 7c, Preference for Commercial Sources),
and in particular, that:
mission;
(1) The proposed TAG is consistent with EPA's
(2). The proposed IAG is, after consideration of
the available alternatives, the best method of achieving the
objective;
(3) The activities under the proposed IAG will be
performed in conformance with accepted scientific or technical
standards (see Section 1, paragraph 7p., Quality Assurance);
(4) For Funds-In agreements, the work involved
is consistent with EPA's objectives, and its performance will
not adversely affect the Agency's ability to service its own
programs. If the Agency cannot make this latter determination,
then it must request reimbursable: FTEs from the other agency
through the Budget Division, Comptroller's office and OMB to
provide staffing for agreement activities; and
(5) There are sufficient resources to cover the
cost of the work under the agreement:
(a) For Funds-Out agreements, funds are
included in the originating office's allowance for the current
fiscal year. If the allowances do not contain sufficient
funds, the originating office cannot enter into the agreement
until sufficient funds have been reprogrammed into the allowance,
and
(b) For Funds-In agreements, the originating
office must obtain a reimbursable advice of allowance from
the Budget Division. The agreement cannot be entered into
without receiving an advice of allowance which indicates that
sufficient reimbursable funds are still available to the Agency.
Also, during the last quarter of the fiscal year, the originat-
ing office must contact the Comptroller concerning all Funds-
In agreements over $100,000 in order to assure the availability
of resources prior to the end of the fiscal year.
d. Interaaencv Agreement Format. All agreements originated
by EPA (except for policy agreements) shall be prepared on EPA
Fora 1610-1. Instructions for completing the form are part
of the fora itself. An interagency agreement prepared by
another Federal agency or an intergovernmental agreement
prepared by a State or local government and submitted to EPA
for signature shall contain all the information shown on EPA
Form 1610-1 or be on that form.
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ASSISTANCE ADMINISTRATION 5700
2, PROCEDURES FOR ENTERING INTO INTERAGENgY AGREEMENTS.
Following are the steps which the EPA originating office,
GAD, the RAAU, and the Cincinnati Financial Management Center
(CFMC) will take in processing lAGs. Except as .otherwise
noted, the procedures apply to both disbursement, reimbursement
and allocation transfer agreements/amendments, and to lAGs
originated by EPA Headquarters Offices, Regional Offices, and
EPA Laboratories.
a. Procedural Steps for Offices Originating Agreements.
(1) The originating office designates a project
officer. The project officer is the EPA staff person responsible
for the IAG generally and for liaison with the other agency.
An IAG must have a project officer at all times. Any change
of project officers shall be reported to GAD/RAAU and the
CFMC promptly and in writing.
(2) The project officer establishes a working file
which eventually will include all pertinent documents concern-
ing the agreement. While this is not the official file, it
is important that the project officer's file be complete.
Appendix 51-A includes a list of the documents copies of
which should be in a complete working file. (Note: For
site-specific lAGs, the project officer also establishes the
site file).
(3) The project officer negotiates the content of
the proposed agreement with the other agency. For Funds-Out
agreements, EPA Form 1610-1 must be used. For Funds-In agree-
ments, either the EPA Form 1610-1 or that of the other agency
may be used; in either case, the proposed agreement must
include all the information requested on the EPA Form 1610-1
and any other conditions which affect the performance of the
agreement. Also, for Funds-In agreements, the other agency
should sign the agreement first.
(4) For disbursement agreements, the project officer
obtains an executed Commitment Notice, EPA Form 2550-9, from
the appropriate allowance holder's commitment clerk.
(5) The project officer assembles an agreement
package which includes three copies of the the agreement form
(either the EPA Form 1610-1 or that of the other agency),
relevant narratives, a copy of the Commitment Notice, if
applicable, and the decision memorandum (where appropriate,
the package also shall include a Quality Assurance form).
The package is sent to the Decision Official for signing.
The decision memorandum, which must be signed by the Decision
Official, summarizes how the proposed IAG will facilitate the
accomplishment of a particular EPA objective (including whether
an extramural instrument will be used), discusses the alter-
natives to an IAG which the originating office considered,
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ASSISTANCE ADMINISTRATION 5700
and explains why the proposed source (other agency) was
selected.
(6) the originating office's finance unit
informs the CFMC of the commitment, either by transmitting a
copy of the Commitment Notice or by entering the commitment
into an electronic system such as; "First Up."
(7) The project officex completes and forwards the
agreement package to GAD (or to the RAAU) for administrative
review. It should include three copies of the Form 1610-1
with original signatures. In the: case of Funds-In agreements,
two of the agreement forms should have an original signature
from the other agency.
b. Procedural Steps for GAD (Headquarters lAGs)
(1) GAD receives the IAG package, logs it in,
assigns an agreement number (for information explaining the
IAG number see Section 2, paragreiph 3). The data entered
into the log includes:
(a) Descriptive title
(b) Agreement number
(c) Date package received by GAD
(d) Type of agreement (Funds-Out or Funds-In)
(e) Project officer and phone number
(f) EPA program office
(g) Other agency, and
(h) Amount of EPA transaction.
(2) GAD establishes the official agreement file,
which will include all pertinent documents concerning the
agreement (see Appendix 51-A), and enters basic identifying
data into GICS. If requested, GAD will provide assistance to
the originating office in completing IAG forms (FTS 475-8270,
Grants Information and Analysis Branch).
(3) GAD reviews the package to assure that it fully
complies with all appropriate legislative, regulatory, and
administrative requirements. If the proposed agreement meets
these requirements, the Action Official signs it and the
copy(s). If it does not, GAD steiff contacts the project
officer and resolves the agreement's deficiencies.
(4) GAD telephones the Cincinnati Financial Manage-
ment Office (FTS 684-7831) for reimbursement agreements, and
obtains the reimbursable account number from CFMC.
(5) For Funds-Out agreements, GAD prepares a letter
submitting two copies of the signed agreement to the other
agency. The other agency returmt a signed copy of the agreement
form to GAD. If the agreement i« not returned within three
weeks, GAD will send a follow-up letter to the other agency.
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(6) For Funds-In agreements, GAD prepares a letter
returning a signed copy of the agreement to the other agency.
(7) As soon as the agreement has been signed by
both agencies, GAD sends a copy of the executed agreement to
the project officer, the Budget Division of the Office of the
Comptroller fall reimbursement and allocation transfer lAGs
only), the CFMC, and the official GAD file. The copy sent to
the official file must have original signatures. To avoid
duplicate commitments, no copy of the Commitment Notice is
sent by GAD to the CFMC. If the agreement involves providing
or purchasing equipment, GAD will send a copy of the IAG to
the Property Management Section, Facilities Management and
Services Division.
(8) GAD updates the status of the IAG data and
transmits it to the data entry clerk who enters the data into
GIGS.
(9) For disbursement agreements, the IAG receipt/
acceptance is recorded in GICS. On a regular basis the CFMC
electronically transfers accounting data to its Financial
Management System in which the appropriate obligation is
recorded.
c. Procedural Steps for Regional Assistance
Administration Unit (RegionallAGsV
(1) RAAU receives the IAG package and E-mails basic
data into the Grants Administration Division in Headquarters.
GAD assigns an agreement ID number and enters basic identify-
ing data concerning the agreement into GICS. This data includes:
(a) Descriptive title
(b) Agreement number
(c) Date request received by GAD
(d) Type of agreement (Funds-Out or Funds-In)
(e) Project officer and phone number
(f) EPA program office
(g) Other agency
(h) Amount of EPA transaction, and
(i) Accounting information.
'(2) RAAU establishes the official agreement file,
which will include all pertinent documents concerning the
agreement (see Appendix 51-A). If requested, RAAU will provide
assistance to the originating office in completing IAG forms.
(3) If requested, GAD will provide assistance to
Regional offices in completing IAG forms (FTS 475-8270, Grants
Information and Analysis Branch).
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(4) RAAU reviews the package to assure that it
fully complies with all appropriate legislative, regulatory
and administrative requirements. If the proposed agreement
meets these requirements, the RAAU sends the agreement to the
Regional Administrator for signature. If it does not, RAAU
contacts the project officer and resolves the agreement's
deficiencies.
(5) The Regional Administrator signs three copies
of the agreement and returns the IAG package to RAAU.
(6) RAAU telephones the CFMC (FTS 684-7831) for
reimbursement agreements, and obtains the reimbursable account
number.
(7) For Funds-Out agreements, RAAU prepares a letter
transmitting two (2) copies of th.e agreement to the other agency.
The other agency returns a signed, copy of the agreement form
to RAAU. If the agreement is not returned within three weeks,
RAAU will send a follow-up letter to the other agency.
(8) For Funds-In agreements, RAAU prepares a letter
transmitting a signed copy of the agreement to the other agency.
(9) As soon as the agreement has been signed by both
agencies^ RAAU sends a copy of the executed agreement to the
project officer, GAD in Headquarters, the Budget Division of
the Office of Comptroller (aJJ, reimbursement and allocation
transfer lAGs only), the CFMC, and the official RAAU file.
The copy sent to the official RAAU file must have original
signatures. To avoid duplicate commitments, no copy of the
Commitment Notice is sent to CFMC. If the agreement involves
providing or purchasing equipment, RAAU will send a copy of
the agreement to the regional property management specialist.
(10) GAD updates the status of the data in GIGS.
For Funds-Out agreements, the IAG receipt/acceptance is
recorded in GICS. On a regular basis the CFMC electronically
transfers accounting data to the Financial Management System
in which the appropriate obligation is recorded. When the
Regional Automated Grants Document System and the Interagency
Agreement Management System are implemented, the RAAU will
enter the GICS data.
d. Emergency Procedures. When an emergency situation
requires immediate action, GAD/RAAU will provide expedited
processing in the initiation of lAGs; however, in these cases,
execution and closeout processing steps remain as described
in Section 3 of this Chapter, Post Approval Requirements. In
order to provide expedited process;ing, GAD/RAAU may defer cer-
tain administrative steps, but will assure that the proposed
IAG meets statutory, regulatory and funds control requirements.
GAD/RAAU will give the highest priority to reviewing agreements
involving emergency situations. Vfhen emergencies occur that
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ASSISTANCE ADMINISTRATION 5700
dictate immediate action under Superfund, the following specific
actions nay be taken to effect immediate emergency response:
(1) Oral authorization. Oral authorization to
initiate action under a Headquarters IAG may be given by a
staff member designated by the Assistant Administrator, Office
of Solid Waste and Emergency Response (OSWER).
(2) Written authorization. The Assistant Admini-
strator, OSWER (or his designee) may sign the Headquarters
IAG for EPA. However, this authority is limited to those
situations in which:
(a) The emergency is of such a compelling
nature that action must be initiated even more quickly than
the rapid processing time under GAD emergency procedures, and
(b) The agency with which EPA is entering the
ZAG is unable to initiate activities without a signed agreement.
(3) Whenever the AA (or his designee) authorizes
emergency action under a Headquarters IAG, OSWER shall comply
with the following additional requirements:
(a) No later than the first working day
following an oral or written authorization, an OSWER staff
member will telephone GAD and inform them that funds have
been authorized for an emergency. The information provided
to GAD shall include the name of the other agency, the loca-
tion of the incident, the amount EPA has authorized, the date
on which the authorization was made, and necessary accounting
information. The latter includes, as appropriate, program
element number, appropriation number, account number, document
control number, and object class number.
(b) GAD will assign an agreement number to the
agreement, inform OSWER by telephone of the assigned number,
and immediately record the IAG receipt/acceptance in GICS.
GAD then will notify CFMC so that they may transfer the
obligation into the Financial Management System.
(c) Oral or written authorization will be con-
firmed within two working days by submittal of a completed EPA
Form 1610-1 to GAD. Steps required under Section 2,
Paragraph 2a., Procedural Steps for Offices Originating Agree-
ments . will be followed to complete the paperwork required
for management of the emergency action.
(d) GAD/RAAU will review the EPA Form 1610-1
for an emergency IAG utilizing the procedures under Section
2, Paragraph 2b., Procedural Steps for GAD or Paragraph 2c.,
Procedural Steps for Regional Assistance Administration Units
respectively. If the terms of the agreement, as submitted to
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ASSISTANCE ADMINISTRATION 5700
GAD/RAAU, differ from those previously authorized, GAD/RAAU
will note the changes, and GAD will make the appropriate
corrections in GICS.
3. NUMBERING OF AGREEMENTS.
a. Structure of Interaaencv Agreement Identification
Number. An EPA IAG Identification Number consists of eleven
characters, both letters and numbers. In sequential order,
the six parts of this identification number consist of:
(1) Tnteracrencv Agreement Type Code. A one-character
letter (alpha) code. This character identifies the agreement:
P - Policy Agreement
D - Funds-Out Agreement: (Disbursement and Allocation
Transfer-Out)
R - Funds-In Agreement (Reimbursement and Allocation
Transfer-In)
(2) jnteraqencv Agreement Codet A (W) universally
appears in this field indicating am interagency agreement.
(3) Agency Code. This two-digit code identifies
the other party to the agreement with EPA. Other Federal
agencies are identified by the two-number Federal Account
Symbol assigned to them by the Treasury; States are identified
by the Postal .Service's two-letter abbreviation, e.g., West
Virginia~WV. GAD will provide other EPA offices with listings
of these other agencies and their assigned codes.
(4) Serial Number. A six-digit number (930000 -
939999) identifies the specific agreement. The number 93
identifies the instrument as an IAG. The last four digits
indicate the number of the agreement, itself. Thus, the
fiftieth EPA agreement under this numbering system would have
a serial number of 930050. Each IAG is assigned a unique
serial number.
(5) Amendment Designator. The last character
identifies a specific modification of the terms or conditions
of an IAG. Numbers "0 - 9" represent zero amendments through
the ninth amendment of an agreement. The alpha codes "A -2"
identify the tenth through thirty-fifth amendment.
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ASSISTANCE ADMINISTRATION 5700
b. Example of Interagency Agreement Number^
DW81931013-3
IAG Type Code - FUNDS-OUT Agreement
.... IAG Code
Agency Code (other agency)
IAG Identifier
Serial Number of Agreement
Amendment Designator
'DW 81 93 1013 -3
c. Responsibility for Numbering. The Grants Administra-
tion Division in Headquarters will assign an identification
number to each IAG and will assign a modification of that
number to each amendment of an agreement. GAD will assign
IAG identification numbers for all EPA lAGs, including agree-
ments for goods and services and policy agreements. For the
former, the number will be assigned upon the receipt of the
agreement package in GAD/RAAU. For the latter, the Office of
Federal Activities or RAAU, as appropriate, will contact GAD
upon receipt of the policy agreement for review. GAD is now
using the Agency's Electronic Mail System to issue IAG identi-
fication numbers to Regional Offices.
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ASSISTANCE ADMINISTRATION 5700
SECTION 3 - POST-APl.'ROVAL REQUIREMENTS
1- PROGRAMMATIC OVERSIGHT. Following the execution of an
IAG by both of the involved agencies, the implementation of
the agreement ordinarily begins. During this period, the
role of the project officer is paramount. The project officer
is the key person responsible for day-to-day programmatic
oversight of the agreement. Even when he delegates some of
his duties (e.g., when another staff person handles the
administrative requirements of an IAG) , the project officer
retains basic responsibility for both the programmatic and
administrative aspects of the agreement listed below. It is
his/her responsibility to:
a- Funds-1 n•Agreements.
Monitor the progress of work done by EPA including pre-
paring and/or receiving progress reports and acting on them:
(1) Monitor the delivery of goods or services by
EPA throughout the project period,, assuring their delivery in
accordance with the'terms of the etgreement.
(2) For reimbursement etgreements, provide EPA's
Cincinnati Financial Management Center information on the
delivery of goods or services by IIPA (EPA Form 2550-8, Report
of Reimbursable Services Rendered) so that EPA may bill the
receiving agency, establish accounts receivable, and insure
that the cost of activities performed for the other agency
are recorded.to a reimbursable account code.
b. Funds-Out Agreements.
Monitor the progress of work done for EPA including pre-
paring and/or,receiving progress reports and acting on them:
(1) Monitor the receipt of goods or services by
EPA throughout the project period in order to assure con-
formance with the terms of the agreement.
(2) For disbursement agreements:
(a) Receive and review detailed cost informa-
tion submitted by other Federal agencies (see Section 1,
Paragraph 7b.) If this information is not included on or
with vouchers submitted for payment, the project officer
shall contact the other agency and obtain the information.
At the same time, he shall notify CFMC of the lack of cost
information and the need to withhold payment.
(b) Assure receipt of and approve itemized
billings from other agencies concerning the receipt of goods
or services provided to EPA under an agreement (approval must
occur within five days of receipt), and
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ASSISTANCE ADMINISTRATION
5700
return these billings to the CFMC. Note:
the RAAUs may review and cosign bills.
For Regional lAGs
c. Negotiate the content of amendments to the agreement
and prepare amendment packages for Decision Official approval
(see Section 2, paragraph 2, PROCEDURES FOB ENTERING INTO
INTERAGENCY
d. Maintain a complete working file concerning relevant
programmatic and administrative activities, including pertinent
documents.
e. Upon completion of the work covered by the agreement
(including the receipt and acceptance of the final technical/
programmatic report, if any, and final reporting and disposition
of property), notify GAD/RAAU so that the agreement may be closed
out.
2. MANAGEMENT OVERSIGHT, it is the responsibility of the
administrative review offices (GAD and RAAU) to provide management
oversight for EPA's IAG program. This responsibility involves
maintaining information about lAGs, the option of reviewing and
cosigning bills, establishing liaison with programmatic and
other administrative offices involved in the IAG process, and
following up with those offices when problems appear, in order
to assure a smoothly functioning process. When problems of a
policy nature arise, the GAD and RAAU are responsible for
.providing assistance to resolve them.
a-. Information Maintenance.
(1) Official TAG File. GAD and RAAU are responsible
for maintaining a complete file of documents relating to official
actions on each IAG under their jurisdiction.
*
(2) IAG Information. GAD is responsible for
insuring that IAG information is entered into the GICS
system.
b. Reports. Monthly and annual reports on lAGs shall be
prepared by GAD/RAAU no later than 15 calendar days after the
end of the month or fiscal year, as appropriate. Information
shall be provided separately for Funds-Out agreements and
Funds-In agreements. Use of the GICS data base for such
reports is encouraged.
e. Oversight of IAS Activity. On a guarterly basis, GAD
will obtain from the Financial Management System data indicating
whether activity (disbursements or reimbursements) occurred during
the report period. This information will be obtained on a project
by-project basis. GAD will review a list of all active lAGs and
will note all such lAGs which report no activity. GAD will
maintain a list of all such lAGs. When an IAG .has no activity
for two full quarters, GAD will initiate the closeout process
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ASSISTANCE ADMINISTRATION 5700
described in Section 3, paragraph 4. RAAU will be responsible
for maintaining similar oversight, of lAGs under its jurisdic-
tion.
3. FINANCIAL OVERSIGHT. Financial oversight of interagency
agreements is the responsibility of the Financial Management
Division of the Office of the Comptroller. The CFMC is the
central servicing finance office for all payments and receipts
for EPA interagency agreements. All vouchers for payment and
all requests for.EPA to bill other agencies for services
rendered should be sent to the CFMC, EPA, Cincinnati, Ohio
45268. The CFMC also is responsible for:
a. Recording obligations in the Financial Management
System (FMS) by electronically transferring the obligation
data from GICS to the FMS;
b. Recording accounts receivable upon receipt of a copy
of a Report of Reimbursable Services Rendered (EPA Form 2550-
8) and the rendering of a bill;
c. Preparing and sending the appropriate forms to the
other agency so that they may bill EPA;
d. Receiving payments and recording receipts under
reimbursement agreements;
/
e. Assuring that project officers approve vouchers for
payment (SF-1080 and SF-1081);
f. Making payments under disbursement agreements; and
g. Upon request, providing additional information con-
cerning the financial requirements/status of lAGs. Information
may be obtained from the CFMC (FTS 8-684-7831; Commercial
[513] 569-7831) or the EPA Headquarters Financial Management
Division (FTS 8-3825113; Commercial [202] 382-5113).
4. CLOSEOUT PROCEDURES FOR lAGs. When no further activities
are to take place under an IAG, the agreement must be closed
out. A closeout should occur if all planned activities have
been completed satisfactorily, or all available funds have
been expended, or authority to expend funds has expired, or
for any other appropriate reason. Closing out an IAG requires
the efforts of the project officer, the Financial Management
Division, and the Grants Administration Division (or the
RAAU).
a. initiating an IAG Closeout.
(1) When the project period of an IAG expires, or
when an IAG reports no activity (no payments or receipts) for
two full quarters (i.e., covering six full months), GAD/RAAU
51-29
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ASSISTANCE ADMINISTRATION 5700
shall contact the project officer and request that he/she
determine if the project should be closed out. If the deter-
mination is positive, the project officer shall complete the
steps in 4b., below; if it is not, he shall notify GAD/RAAU
of the reasons for his determination.
(2) When a project officer determines that no fur-
ther activities under an IAG will take place (including receipt
of a report or other product), he shall initiate a closeout
of that agreement.
b. Completing a Closeout.
(1) The project officer requests in writing that
GAD/RAAU close out the agreement. The project officer pro-
vides GAD/RAAU the following information:
(a) A statement that no further activity will
occur under the agreement and an explanation supporting this
statement (project completed, fund availability period expired,
etc.); and
(b) A statement that the final product(s) of
the agreement has been received or provided, if applicable.
(2) CFMC provides GAD/RAAU with the financial
information including:
(a) For a reimbursement agreement, if all
payments due EPA have been received; or
(b) For a disbursement agreement, if all
obligations have been cleared, either through payment or
deobligation.
Note: For an allocation transfer agreement,
the GAD/RAAU asks the EPA Inspector General (IG) to request
the other agencyfs IG to determine the lAG's financial status.
(3) Upon receipt of the information listed in (1)
and (2) above, GAD/RAAU will take the following steps to
close out the project:
(a) Incorporate the closeout information into
the official file and remove that file from the active category;
(b) Send closeout letter to other agency,
with copies to both the project officer and CFMC;
(c) Inform the GICS data entry clerk that the
agreement has been closed out and request the updating of the
computer record; and
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ASSISTANCE ADMINISTRATION
5700
^ ^ ^ , , (d) Verify the closed-out status of the agree-
ment by obtaining data from GICS at the time of the next IAG
•status report.
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ASSISTANCE ADMINISTRATION
5700
official Agreement File
The following documents should be found in a complete
official agreement file:
a. Record of discussions and contacts with all
potential sources and the resulting decision.
b. Copy of the decision memorandum (original and amendments)
c. Copy of Commitment Notice(s), if applicable.
d. Copy of signed agreement as sent to other agency,
if applicable.
e. Copy of agreement as executed by both agencies.
f. Copy of continuations or amendments to the agreement,
if applicable.
g. Transmittal letters.
h. Memoranda received from FMD, GAD, or others involved
in the processing, monitoring, termination and/or
close out of the agreement.
i. Copy of EPA form 2550-8 (Report of Services Rendered),
if applicable.
j. Termination or closeout papers, including a statement
from the project officer that no additional activities
will take place under the agreement and that the final
product of the agreement (if any) has been provided.
k. Copy of closeout letter.
Appendix 151-A
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United States Environmental Protection Agency
Washington, DC 20460
Interagency Agreement/
Amendment
Part 1 - General Information
6. Name and Address of EPA Organization
1. EPA IAG Identification Number
4. Funding Location by
Region
2. Other Agency IAG ID Number (if known)
3. Type of Action
5. Program Office
Abbreviation
7. Name and Address of Other Agency
8. Project Title
9. EPA Project Officer (Name, Address, Telephone Number)
10. Other Agency Project Officer (Name, Address, Telephone Number)
11. Project Period
12. Budgut Period
13. Scope of Work (Attach additional sheets, as needed)
14. Statutory Authority for Both Transfer of Funds and Project Activities
15. Other Agency Type
Funds
Previous Amount
Amount This Action
Amended Total
16. EPA Amount
17. EPA In-Kind Amount
18. Other Agency Amount
19. Other Agency In-Kind Amount
20. Total Project Cost
21. Fiscal Information
Program Element
FY
Appropriation
Doc. Control No.
Account Number
Object
Class
Obligation/Deobligation Arm.
EPA Form 1610-1 (Rev. 5-88) Previous editions are obsolete.
Appendix 51-B
Page 1 of 5
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Part II • Approved Budget
EPA IAG Identification Number
22. Budget Categories
Itemization of
This Action
ttemization of Total Project
Estimated Cost to Date
(a) Personnel
(b) Fringe Benefits
(c) Travel
Jdj Equipment
Je) Supplies
(f) Procurement/Assistance
(9) Construction
(h) Other
(i) Total Direct Charges
G) Indirect Costs: Rate
% Base $
(k) Total
(EPA Share
%) (Other Agency Share
23. Is equipment authorized to be furnished by EPA or leased, purchased, or rented with EPA funds?
(Identify all equipment costing $1,000 or more)
Yes
D
No
24. Are any of these funds being used on extramural agreements? (See Item 221)
Yes
No
Type of Extramural Agreement
Grant
Contractor/Recipient Name (if known)
Cooperative Agreement
Procurement (Includes Small Purchase Order)
Total Extramural Amount Under This Project
Percent Funded by EPA (if known)
Part Ml - Funding Methods and Biding instructions
Funds^ut Agreement (Note: EPA Agency Location Code (ALC) - 68010727)
Disbursement Agreement
Repayment
Request for repayment o( actual costs must be itemized on SF 1081 or SF1080 and submitted to the
Financial Management Center. EPA, Cincinnati, OH 45268:
Monthly
Quarterly
Upon Completion of Work
Advance
Only available for use by Federal agencies on working capital fund or with appropriate justification of
need for this type of payment method. Unexpended funds at completion of work will be returned to
EPA. Quarterly cost reports will be forwarded to the Financial Management Center, EPA, Cincinnati,
OH45268.
Allocation
Transfer-Out
Used to transfer obligation^ authority or transfer of function between Federal agencies.
prior approval by the Office of the Comptroller, Budget Division, Budget Formulation
Branch, EPA Headquarters. Forward appropriate reports to the Financial Reports i
Branch, Financial Management Division, PM-226F, EPA, Washington, DC 20460.
, Must receive
and Control
Reports and Analysis
26.
Funds-ln Agreement
Reimbursement Agreement
Allocation Transfer-In
Repayment
Advance
Other Agency's IAG Identification Number
EPA Program Office Allowance Holder/Responsibility Center Number
Other Agency's Billing Address (Include Agency Location Cods
or Station Symbol Number)
Other Agency's Billing Instructions and Frequency
i»
EPA Form 1610-1 (Rev. 5-88)
Appendix 51-B
Page 2 of 5
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Part IV - Acceptance Conditions;
EPA
-------
Instructions
This form is to be used for all Funds-Out interagency
agreements. It may be used for Funds-In interagency
agreements if the other funding agency agrees to do so. It
may not be used for policy agreements. However, if the
other agency's instrument is used, it and any attachments
thereto must reflect all the information contained in this
form.
This form is to be used in conjunction with the Assistance
Administration Manual and any other supplemental in-
formation.
1. The original agreement identification number will be
assigned by the LAG administration/management office
servicing the EPA program office initiating the action. If
the original project is amended, cite only the first 10 char-
acters of the original agreement number (e.g.,
DW81931013). The servicing IAG administration/man-
agement office will assign the amendment designator (e.g.,
-1).
2. Enter the other agency's LAG identification number (if
known).
3. Identify the purpose of this action using one of the fol-
lowing terms:
New Agreement
Increase in Funds
Decrease in Funds
Administrative Amendment
"Administrative amendment" is used to identify project
period extensions, project officer changes, special condi-
tion changes, rebudgeting of funds, etc.
The four terms above are listed in order of priority, there-
fore, should an action involve multiple changes use the
first term that appropriately identifies one of the changes.
4. Identify the regional location of the EPA program of-
fice disbursing/receiving funds (e.g., projects funded by
EPA Headquarters and ORD laboratories will cite Re-
gion XI).
5. Enter the EPA GICS abbreviation for the program of-
fice. This should be at the Office Director or comparable
level (e.g., OERR/HQ), except for EPA ORD laborato-
ries (e.g., ERL/DUL).
6. Enter "Environmental Protection Agency" followed by
the name and mailing address of the EPA organization
responsible for technical management of the project.
EPA offices should be identified at the Office Director or
comparable level for Headquarters or the appropriate Re-
gional Office.
7. Enter the name and mailing address of the other
agency. Identify the Department and the appropriate or-
ganizational components within the Department (e.g.,
DHHS, PHS, Center for Disease Control).
Note: Use the appropriate Department of Energy area of-
fice for agreements with a DOE National Laboratory.
8. Enter project title. Be concise and use only the space
provided. If Superfund site specific, include site location
(e.g., city and State).
9. Enter the EPA Project Officer name, EPA mailing ad-
dress, and telephone number.
10. Enter the other agency project officer name, other
agency mailing address, and telephone number.
11. Enter beginning and ending dates of entire period ex-
pected to be needed to complete the project. This period
of time should not be longer than 5 years. For projects
requiring more than 5 years, appropriate justification
must be submitted in the decision memorandum.
12. Enter the period of time this transaction will fund
project activities. (Note: budget period cannot exceed the
period of appropriation.)
13. Provide a complete description of the project work to
be performed under the agreement. In jointly funded pro-
jects, the scope of work should describe specific responsi-
bilities of the participating agencies, not just the portion
funded by EPA. Additional pages should be attached as
necessary.
14. Enter.both the appropriate statutory authority that
authorizes the interagency agreement mechanism and the
appropriate statutory authority that authorizes project ac-
tivities.
When entering into Funds-Out agreements with Federal
agencies, cite (1) Economy Act of 1932, as amended (31
USC 1535) and/or other independent program authority
and (2) the statutory authority that authorizes the project
activities (e.g., Clean Water Act).
When entering into Funds-In agreements with State and
local governments, cite (1) Intergovernmental Coopera-
tion Act of 1968 (31 USC 6505) and, to the extent that the
agreement involves contractor services, also cite appropri-
ate cooperation authorities and (2) the statutory authority
that authorizes the project activities.
For Funds-In agreements with Federal agencies, cite (1)
Economy Act of 1932, as amended (31 USC 1535) and/or
other independent program authority and (2) the other
agency's statutory authority authorizing the project activi-
ties.
EPA Form 1610-1 (Rev. 5-88)
Page 4 of 5
Appendix 51-B
-------
IS. Identify the other agency using one of the following
terms:
Federal
State (includes District of Columbia, territories,
and possessions of the U.S.)
Local (includes general local government, a
school district, or other special district
established under State law)
16. For original agreements enter. EPA "Amount This Ac-
tion." For amendments, enter the EPA "Previous
Amount," "Amount This Action," and "Amended Total."
17. An inkind amount is anything other than a monetary
exchange (e.g., equipment, personnel, etc.). A fair dollar
amount should be assigned to the nonmonetary exchange
and entered for original agreements. For amendments,
enter the EPA "Previous Amount," "Amount This Ac-
tion," and "Amended Total."
18. Identify the other agency's funds. This should be used
when a project is jointly funded or when EPA is receiving
funds. For original agreements, enter other agency's
"Amount This Action." For amendments, enter the other
agency's "Previous Amount," "Amount This Action," and
"Amended Total."
19. A fair dollar amount should be assigned to the non-
monetary exchange and entered for original agreements.
For amendments enter the "Previous Amount," "Amount
This Action," and "Amended Total."
20. Enter the total amount for all categories.
21. Enter the appropriate fiscal information identifying
the funds being used. In the case of a reimbursement
agreement the EPA reimbursable account number will
appear under "Account Number."
22(a-i). For original agreements, enter the total funded
project costs according to the categories provided, and in-
elude the other agency's contribution as well. For amend-
ments increasing funds itemize this action, add the addi-
tional funds by category and enter the revised itemization
to date. This will reflect total direct charges. Amend-
ments decreasing funds should be done in a similar man-
ner.
(j). Identify how indirect costs are computed. Enter a
percentage and a base amount or a comparable state-
ment reflecting how indirect costs were computed. If
applicable, include appropriate certification of indi-
rect cost rate statement in Item 28, "Special Condi-
tions."
(k). Enter the total amount of this action and total
project amount to date. Indicate EPA share and
other agency share by summing total cost to date and
dividing into the amount provided by one agency to
arrive at that agency's share (e.g., $60,000 EPA share
divided by $100,000 total project cost to date to arrive
at 60% EPA share).
23. The agency funding the equipment acquisition shall be
responsible for maintaining an inventory of the property.
All nonexpendable equipment (items costing $1,000 or
more) to be furnished, leased, purchased, or rented shall
be identified and the appropriate property management
office consulted. Any property management/disposition
provisions should appear in Item 28, "Special Condi-
tions."
24. If any of the funds are to be used on extramural agree-
ments, enter identifying information. The amount en-
tered here must agree with the amount entered in item
22(f), above.
25. For Funds-Out agreements, identify the funding
method utilized for the agreement.
24 For Funds-In agreements, enter all pertinent informa-
tion including that needed in order for EPA to properly
receive funds from the other agency (e.g., other agency
form number, appropriate number of copies, complete
mailing address, etc.).
27. Self explanatory.
2i5. Enter any special conditions applicable to the technical
management of the project (e.g., reports, property man-
agement, etc.). The servicing IAG administration/man-
agement office will provide the appropriate administrative
special conditions. If applicable, include appropriate certi-
fication of indirect cost rate statement
29. Enter the appropriate IAG administration/manage-
ment office address (Headquarters or Regional) servicing
your program. This will be the return address for original
signed acceptances of interagency agreements/amend-
ments, therefore, use the complete mailing address of
your LAG administration/management office.
30. Enter the complete address of the EPA program office
funding the agreement.
3].. Enter the name and title of the EPA Decision Official
for the EPA program office.
37.. Enter the name and title of the appropriate EPA Ac-
tion Official (e.g.. Chief, Grants Information and Analysis
Branch, Grants Administration Division for Headquar-
ters and Regional Administrator or designee for Re-
gions).
32'. Enter the name and title of the other agency's autho-
ring official.
EPA Form 1610-1 (Rev. 5-88)
Page 5 of 5
Appendix !31-B
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SEPT. 1988
INTERAGENCY AGREEMENT POLICY AND PROCEDURES COMPENDIUM
CHAPTER: 2
TITLE; Statutory Authorities
PURPOSE:
•—
The purpose of this chapter is to present, in one
place, the programmatic and other authorities that provide
the legal basis for EPA to enter into an agreement with
another Federal agency or a State or local government.
This chapter also summarizes appropriate Comptroller
General Decisions and the relevant portions of the Economy
Act, which'regulate funds responsibilities under
agreements between agencies. The major portions of this
chapter were prepared by the Office of General Counsel in
EPA Headquarters.
CONTENTS:
Section I
Section II
Section III
Section IV
Appendix A
Introduction
Authority for Agreements
Funds Responsibilities
Program Authorities
Sources
Questions concerning this chapter should be directed to
the Office of General Counsel, Grants Law Branch, FTS
382-5320.
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SEPT. 1988
Chapter 2 - Statutory Authorities
I. INTRODUCTION
The legal authority for entering into interagency or
intergovernmental agreements is found in selected general
statutes as well as in some EPA program statutes. To
demonstrate to the user the kind of options available to
the Project Officer in choosing the appropriate authority
for his/her project, the Compendium introduces selected
sections from the United States Code, decisions of the
Comptroller General, and Office of Management and Budget
circulars.
The following four sources are especially relevant to
the understanding of the statutory basis of interagency or
intergovernmental agreements.
The Economy Act
The Intergovernmental Cooperation Act
Program Statutes
The Federal Grant and Cooperative Agreement of
1977.
While the first three categories are discussed in
terms of the authority they provide for entering into
lAGs, the fourth is introduced to indicate limitations on
the use of different types of legal instruments and to
provide instruction on when the procurement process should
be employed.
-------
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SEPT. 1988
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SEPT. 1988
APPENDIX A
Sources
Laws — U.S. Code Annotated
Federal Environmental Pesticides Control Act of
1972:
U.S.
U.S.
U.S.
U.
U.
.S
S
C.
C.
C.
C.
C.
7 U.S.C.
136o(d)
136r(a)
136r(c)
136t(b)
136u(a)
136W-3
(b)
/
Toxic Substances Control Act, as amended:
15 U.S.C. 2609 (a) through (g)
15 U.S.C. 2625 (a)
15 U.S.C. 2643 CP)(2)
15 U.S.C. 2646 (d)(l)
— Clean Water Act, as amended:
33 U.S.C.
33 U.S.C.
33 U.S.C.
1252(a)
1253(a)
33 U.S.C. 1257(a)
33 U.S.C. 1258(ai,(b),(d)
33 U.S.C. 1263
33 U.S.C. 1267(a)(2)
33 U.S.C. 1268(c>(l)(4)
33 U.S.C. 1268
33 U.S.C. 1330(a>(l),(j)(l),<2)
1361(b},(f)
1377(b}
,C.
,C.
,C.
33 U.S.C.
33 U.S.C.
Water Quality Act of 1987:
Sec. 407
Sec. 521
Sec. 524
2.A-1
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SEPT. 1988
Marine Protection, Research, and Sanctuaries Act
of 1972:
33 U.S.C. 1417(a),(b)
33 U.S.C. 1442(a),(d),(e)
33 U.S.C. 1443(a)(2)
Safe Drinking Water Act, as amended:
42 U.S.C. 300g-l(e)(l)
42 U.S.C. 300j-l(a)(l), 300j-l(a)(2)(A),
5)-(ll), 300j-l(d), 300j-l(g)
42 U.S.C. 300j-9(b),(c)
Noise Control Act of 1972:
42 U.S.C. 4913(a) through (f)
Resource Conservation and Recovery Act of 1976
(Solid Waste Disposal Act), as amended:
42
42 U
42 U
42 U.S.C.
42 U,S.C.
42 U.S.C.
42 U.S.C.
42 U.S.C.
— Clean Air Act:
42 U.S.C.
42 U.S.C.
42 U.S.C.
42 U.S.C.
42 U.S.C.
42 U.S.C.
42 U.S.C. 6912(a)
42 U.S.C. 6913
42 U.S.C. 6921(b)(l)
U.S.C. 6926(C)(3)
S.C. 6939a(b){2)
S.C. 6948(d)
6963(a)
6981
Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (CERCLA),
as amended:
42 U.S.C. 9604(a> through (d),(i)
42 U.S.C. 9611(c)(6)
42 U.S.C. 9620(e)<2)
42 U.S.C. 9626(b)
42 U.S.C. 9660
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SEPT. 1988
— Superfund Amendents and Reauthorization Act of
1986:
Sec. H8(o)(4)
— Government Employees draining Act:
5 U.S.^C. 4101
— Foreign Assistance Ad: of 1961:
32 U.S.C. 2357
— Economy Act:
31 U.S.C. 1535
— Intergovernmental Cooperation Act:
31 U.S.C. 6505(a),(b),(c)
— Federal Grant and Cooperative Agreement Act of
1977:
31 U.S.C. 6303
31 U.S.C. 6304
31 U.S.C. 6305
— Laws governing funds:
31 U.S.C. 1301(a>
31 U.S.C. 1341(a)(l)
31 U.S.C. 1501(a;(l)-(9)
31 U.S.C. 1534(a;,(b)
31 U.S.C. S 3302
Comptroller General Decisions
— 1926, 6 Comp. Gen/ i!17: Services between
Departments and Establishments
— 1926, 6 Comp. Gen. ill: Services between
Executive Departments
— 1977, 56 Comp. Gen. 2:75: Services between
Departments and
Establishments—Reimbursement—Actual
Cost Required—Overhead Included
1959, 39 Comp. Gen. 317:
Appropriations—Obligation—No-Year
Appropr i at i cms—Int e r agency
Services—;Deobligation Requirement
2.A-3
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1978, 57
1959, 38
1976, 55
1942, 22
1951, 31
1953, 32
1932, 12
1972, 52
1980., 59
1980, 59
1980, 59
1958, 37
Comp. Gen. 674; Services between >
Departments and Establishments—Actual
Cost Requirement—Miscellaneous
Receipts—Reimbursement Payments
Comp. Gen. 734; Department Furnishing
Services, etc., to Private Parties,
Other Government Agencies,
etc.—Depreciation of Fixed
Assests—Equipment Replacement
Comp. Gen. 1497
Comp. Gen. 74: Reimbursement for
Interagency Services
Comp. Gen, 83:
Appropriations-Obligation Limitation
for Interdepartmental Services—Act of
September 6, 1950
Comp, Gen. 479: Interagency
Services—Reimbursement on Cost
Basis—Necessity of Audit by Procuring
Agency to Determine Correctness of
Charges
Comp. Gen. 442: Economy
Act—Reimbursement for Services between
Departments
Comp. Gen. 128: Services between
Departments and Establishments—Jointly
Beneficial Projects
Comp. Gen. 366: Services between
Departments and
Establishments—Reimbursement—Written
Agreement Requirement—Loan of
Personnel—Costs-Loan v.
Transfer—Equipment, Supplies, etc.
Comp. Gen. 602:
Appropriations-Obligation of Funds
Comp. Gen. 653:
Government
Services Furnished by
Comp. Gen. 472:
Appropriations—Availability—Objects
Other than as Specified
2.A-4
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SEPT. 1988
1979, 58 Comp. Gen. 471:
Appropriations—Obligation—Interagency
Agreement; Services between Department
and
Establishments—Reimbursement—Research
and Development Costs
1978, 57 Comp. Gen. i>74: Comp. Gen. Decision
B-198531, September 1980
1958, 59 Comp. Gen. ^15: Comp. Gen. Decision
B-195347, B--195348, May 26, 1982
1955, 35 Comp. Gen. 3: Comp. Gen. Decision
B-193005, October 2, 1978; Decision
B-167790, S«ptember 22, 1977
1955, 34 Comp. Gen. ','05
1983, 62 Comp. Gen. :i23
Ceremonies
1984
1984,
63 Comp. Gen. 422:
Exercises
Presidential Inaugural
Honduras Military
64 Comp. Gen 110: Nonappropriated Funds
Activities .
Executive Orders
E.O. 12580
E.O. 11348;
Delegates President's
responsibilities under the
Comprehensive Environmental
Response, Compensation, and
Liability Act of 1980, as amended
by SARA
Providing for the further training
of Government employees.
Office of Management and Budget. Circulars
A-97:
A-76 :
A-102:
A-130:
Implementation of Intergovernmental
Cooperation Act of 1968
Preference for Commercial Sources
Uniform Administrative Requirements for
Grant-In-Aic. to State and local
governments
Management cf Federal Information
Resources
2.A-5
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INTERAGENCY AGREEMENT POLICY AND PROCEDURES COMPENDIUM
CHAPTER: 3
TITLE: Administrative Linkages
PURPOSE:
The purpose of this chapter is to present information
about various existing Agency administrative systems which
exert control and/or oversight over certain aspects of the
initiation, execution, and closeout of Interagency
Agreements. Each of the sections of this chapter is
essentially a separate entity.
CONTENTS:
Section I -
Section II
Section III -
Section IV
Section V
Section VI
Section VII -
Section VIII.-
Section IX -
Section X -
Section XI
Section XII
Delegations of Authority
Funds, Payment Procedures, Control
and Financial Management
Audits
Quality Assurance '
Suspension and Debarment
Patent and Data Rights
Federal Acquisition Regulations
(FAR)
Automated Data Processing (ADP)
lAGs
Superfund Cost Recovery
Superfund Intergovernmental
Agreements (Superfund State
Contracts)
Detailing of Personnel
IAG Tracking System - GIGS
to:
Questions concerning this chapter should be directed
(Section I)
(Section II)
(Section III)
(Section IV)
(Section V)
(Section VI)
GIAB, GAD, FTS 475-8270
Fiscal Policies and Procedures Branch,
FMD, FTS 382-5L13 :
Program Assistance Unit, OIG, FTS 475-8380
Quality Assurance Management Staff, ORD,
FTS 382-5763
GIAB, GAD, FTS 475-8270
Compliance Staff, GAD, FTS 475-8025
Contracts and Information Law Branch, OGC,
FTS 382-5460
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SEPT. 1988
INTERAGENCY AGREEMENT POLICY AND PROCEDURES COMPENDIUM
CHAPTER: 3 (cont.)
TITLE: Administrative Linkages
(Section VII)
(Section VIII)
(Section IX)
(Section X)
(Section XI)
(Section XII)
Procurement Policy and Quality Assurance
Branch, PCMD, FTS 382-5030
National Data Processing Division, OARM,
FTS 629-4313
Superfund Accounting Branch, FMD, FTS
382-2268
State and Local Coordination Branch, HSCD,
OERR, FTS 382-2443
Policy, Research and Development Division,
OHR, FTS 382-3308
Administrative Support Systems Branch,
ASD, OIRM, FTS 382-5308
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SEPT. 1988
II. AUTHORITY FOR AGREEMENTS '
- There are three possible sources of authority for
IAGS: the Economy Act, 31 USC 1535; the Intergovernmental
Cooperation Act, 6501 et seq.; and certain EPA program
statutes. These authorities are discussed below, together
with an explanation of the Federal Grant and Cooperative
Agreement Act, 31 USC 6301 et seq. , to illustrate the
legal options available to a project officer.
A. The Economy Act is the primary authority for EPA to
eiiter into interagency agreements with other Federal
agencies. The Act is designed to further economy and
efficiency in government, allows Federal agencies with
greater capabilities in given areas to provide related
services or procure specialized materials for other
agencies with less experience.
The head of an agency or major organizational unit
within an agency may place an order with a major
organizational unit within the same agency or another
agency for goods and services if:
amounts are available;
the head of the ordering agency or unit decides
the order is in the bost interest of the United
States Government;
the agency or unit to fill the order is able to
provide or get by coni:ract the ordered goods or
services; and
the head of the agency decides ordered goods or
services cannot be provided as conveniently or
cheaply by contract by a commercial enterprise.
(31 USC 1535(a))
As previously enacted, the Economy Act specified
limited departments and agencies authorized to requisition
goods or services which another agency might be able to
provide or obtain by contract. However, the 1982
amendments to the Economy Act permitted all federal
agencies to acquire goods and services through interagency
agreements. It furthers economy and efficiency in
government by allowing federal agencies with greater
capabilities in given areas to provide related services or
procure specialized materials for other agencies with less
experience. It requires that £*iy condition or limitation
applicable to procurement funds: of the requisitioning
agency be applied by the agency letting a contract.
(31 U.S.C. 1535(c)). Finally, the Economy Act does not
2.12-1
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SEPT. 1988
provide authority where a receiving agency would award an
assistance agreement (i.e., a grant or cooperative
agreement). If the receiving agency proposes to use an
assistance agreement, the project officer must first
determine whether there is independent program authority
for the IA6 (see subsection B below).
B. Independent Program Authority. Although the Economy
Act is the primary authority for lAGs, EPA in some cases
has independent statutory authority to enter into'IAGs
between EPA and other Federal agencies, including several
of the authorities listed in Section IV of this chapter.
Sections 105(a)(4) and 115 of CERCLA, as amended, and
Executive Order 12580, for example, provide such
independent authority. Consequently, for all Superfund
lAGs, CERCLA, as amended, should be cited. Further,
consistent with decisions of the Comptroller General in
55 Comp. Gen. 1497 (1976) and 52 Comp. Gen. 128 (1972),
statutory provisions for cooperation between EPA and other
federal agencies, such as those contained in
section 104(b) of the Clean Water Act, as amended, may
serve as independent authority in appropriate
circumstances.
Use of independent program authorities may be
necessary where obligational requirements under the
Economy Act cannot be met (see Section III.C. of this
chapter) or where a receiving agency would use an
assistance agreement. For non-Superfund lAGs, project
officers should consult with their Regional or General
Counsel's Office before using independent program
authorities. Agreements based on independent EPA program
authority, while not subject to the statutory requirements
of the Economy Act, are subject to the management
guidelines set forth in this Compendium.
C. The Intergovernmental Cooperation Act was passed to
encourage intergovernmental cooperation in providing
specialized or technical services, in providing assistance
and facilities essential to State and local governmental
activities, to avoid unnecessary duplication of special
service functions, and to provide such service on a
reimbursable basis.
The President may prescribe statistical and other
studies and compilations, development projects,
technical tests and evaluations, technical
information, training activities, surveys, reports,
documents, and other similar services that an
executive agency is especially competent and
authorized by law to provide. The services prescribed
must be consistent with and further the policy of the
United States Government of relying on the private
2,11-2
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SEPT. 1988
enterprise system to provide services reasonably and
quickly available through ordinary business channels.
(31 USC 6505(a»
The head of an executive agency may provide services
prescribed by the President: under this section to a
State or local government vhen:
written request is made by the State or local
government; and
payment of pay (i.e., salaries) and all other
identifiable costs of providing and services is
made to the executive agency by the State or
local government making the request. (31 USC
6505
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SEPT. 1988
property or services for the direct benefit
or use of the United States Government; or
f t
the agency decides in a specific instance
the use of a procurement contract is
appropriate. (31 USC 6303)
An executive agency shall use a grant agreement as the
legal instrument reflecting a relationship between the
United States government and a State, a local
government, or other recipient when—
The principal purpose of the relationship is
to transfer a thing of value to the State or
local government or other recipient to carry
out a public purpose of support or
stimulation authorized by a law of the
United States instead of acquiring (by
purchase, lease, or barter) property or
services for the direct benefit or use of
• the United States Government; and
substantial involvement is not expected
between the executive agency and the State,
local government, or other recipient when
carrying out the activity contemplating in
the agreement. (31 USC 6304)
An executive agency shall use a cooperative agreement
as the legal instrument reflecting a relationship
. between the United States Government and a State, a
local government, or other recipient when—
the principal purpose of the relationship is
to transfer a thing of value to the State,
local government, or other recipient to
carry out a public purpose of support or
stimulation authorized by a law of the
United States instead of acquiring (by
purchase, lease, or barter) property or
services for the direct benefit or use of
the United States Government; and
substantial involvement is expected between
the executive agency and the State, local
government, or other recipient when carrying
out the activity contemplated in the
agreement. (31 USC 6305)
In cases where an interagency agreement would involve
the use of a grant or cooperative agreement by the
receiving agency, independent program authority outside
the Economy Act must be established. If independent
program authority exists, an IAG may be executed provided
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SEPT. 1988
both the receiving and providing agencies have comparable
assistance award authority.
Figure 2-1, on the following page, is a decision
matrix for use in identifying the applicable instrument
and its legal basis for a variety of potential
EPA-Federal, State and local covernment agreements.
2.11-5
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SEPT. 1988
III. FUNDS RESPONSIBILITIES
A. Basic Restrictions
There are two basic limitations placed on Federal
funds in general: funds may only be used for the purpose
for which they were appropriated, and the amount of funds
available may not be exceeded.
Appropriations shall be applied only to the objects
for which the appropriations were made except as
otherwise provided by law. (31 USC 1301 (a))
The Comptroller General has ruled (37 Comp. Gen. 472
(1958)) that when an agency hai> multiple appropriations
and expenditure authority to engage in a specific
activity, selection of the appropriation to fund that
activity must be limited to the extent that such
expenditures are reasonably connected with and incident to
the accomplishment of the purposes for which the
individual appropriation was made.
An officer or employee of the United States
Government...may not
make or authorize an oxpenditure or obligation
exceeding an amount available in an appropriation
or fund for the expenditure or obligation; or
involve (the) government in a contract or
obligation for the payment of money before an
appropriation is made unless authorized by law.
(31 USC 1341 (a)(D)
B. Cost Tg^ Be Recovered
Agencies providing specialized and technical services
to other governmental units through interagency agreements
are required by law to recover all identifiable costs.
1. Intergovernmental Cooperation Act
The head of an executive agency may provide services
prescribed by the President under this section to a State
or local government when...payment of pay and all other
identifiable costs of providing the services are made to
the executive agency by the State or local government
making the request. (31 USC 6505(b))
2.
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SEPT. 1988
2. Economy Act
Payment [by the requisitioning Agency] shall be...for
any part of the estimated or actual cost as determined by
the agency or unit filling the order. ...Proper
adjustment of amounts paid in advance shall be made as
agreed to by the heads of the agencies or"units on the
basis of the actual cost of goods or services provided.
(31 USC 1535(b))
Comptroller General decisions addressed the purpose of
the Economy Act and defined "actual costs" in relation to
cost recovery under the Act:
...while the law and its legislative history are
silent as to what was meant by the term "actual
cost,"... the legislative history indicates that the
Congress intended to effect savings for the Government
as a whole by: (L) generally authorizing the
performance of work or services or the furnishing of
materials pursuant to inter- and intra-agency orders
by an agency of Government in a position to perform
the work or service; (2) diminishing the reluctance of
other Government agencies to accept such orders by
removing the limitation upon reimbursements; and (3)
authorizing inter- and intra-departmental orders only
when the work could be as cheaply or more conveniently
performed within the Government as by a private source.
...the only elements of cost that the Act requires to
be included in computing reimbursements are those
which accomplish these identified congressional goals
and whether any additional elements of cost should be
included would depend upon the circumstances
surrounding the transaction... We noted that all
direct costs attributable to the performance of a
service or furnishing of materials are recoverable,
but only those indirect costs which are funded out of
the performing agency's currently available
appropriations and which bear a significant
relationship to the performance of the work or service
or the furnishing of materials are recoverable. To be
recoverable, indirect costs must be shown, either
actually or by reasonable implication, to have
benefited the requisitioning agency, and that they
would not otherwise have been incurred by the
performing agency.
...the only costs the Economy Act requires be
recovered from other agencies are-direct costs and
indirect costs funded from currently available
appropriations. Beyond this, while not required by
the Economy Act, recovery of additional indirect costs
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SEPT. 1988
may be authorized, only if their recovery is necessary
to accomplish some congressiionally identified goal or
policy. (57 Comp. Gen. 614., 681-683 (1978))
In terms of interagency agreements, "all costs"
includes personnel salaries and fringe benefits, travel
expenses, supplies and equipment costs, contractual costs,
indirect or overhead costs, and any other cost which can
be directly identified to the e.greement. Except for
indirect or overhead costs, recovery of these elements of
cost is well understood. Therg! have been numerous
challenges and questions related to recovery of costs,
which the Comptroller General has addressed in a series of
rulings:
a. "Actual Cost" includes overhead. The Comptroller
General has ruled that "actual cost" as used in the
citation includes overhead and other indirect expenses.
22 Comp. Gen. 74 (1942)
b. All costs must be reccvered. Effective
compliance with the reimbursement provision of the Economy
Act is only achieved when all significant elements of cost
are recognized and recovered. (56 Comp. Gen. 275
(1977)). Although this ruling was in response to a
challenge to the Economy Act, in the absence of statutory
language to the contrary in the Intergovernmental
Cooperation Act, for consistency it should likewise be
considered applicable to intergovernmental agreements
under the Act.
c. Departmental supervision is recoverable. If the
overhead expense of the requisitioned agency, including •
the administrative overhead applicable to the supervision
of services provided to the requisitioning agency, is
significant, it should be recognized and recovered. Full
cost further enables the agency to determine whether to
deal with another agency, procure the service elsewhere or
forego the undertaking. 56 Comp. Gen 275 (1977)
d. Expenditure is not a prerequisite. The
performing agency may be reimbursed for items commonly
recognized as elements of cost, even though these items
may not have resulted in direct expenditures. 22 Comp
Gen. 74 (1942)
e. Cost estimates must__be_ adjusted. The cost of the
goods or services provided through the IAG instrument and
identified therein is subject to adjustment based on
actual cost on completion of the order. The amount of the
adjustment should be agreed to by the parties when they
enter into the IAG. With regard to the reimbursement of
costs that exceed the stated amount in the IAG, the
Comptroller General has ruled that:
2.II1-3
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SEPT. 1988
...while...not...legally obligated to make
payment of any amount in excess of the amount
stated in the LAG, such payments...may be made if
the parties administratively determine these
further amounts are a proper adjustment, 22
Comp. Gen. 74 (1942)
f. Personnel salaries must be recovered. Under" the
Economy Act, total direct costs for work performed under
an interagency agreement should include the salaries of
regular employees of the requisitioned agency.
...the appropriations for the department or
office for which the work is to be performed
should bear the total direct cost thereof,
including personal services [salaries of
personnel working directly for requisitioned
agency] 12 Comp. Gen. 442 (1932).
g. Loan of personnel and equipment is permissible.
The Economy Act affords an agency the option of
contracting for the interagency loan of personnel with
provision for reimbursement, or loaning the personnel on a
nonreimbursable basis as an informal accommodation.
... in the absence of a written order or agreement
in advance, or unless the written order or
agreement specifically provides for •
reimbursement, the load of personnel will be
regarded as an accommodation for which no
reimbursement or transfer of appropriation will
be made for salaries...of the leaning-agency
personnel. (13 Comp. Gen. 234 (1934))
4
Temporary interdepartmental transfer of supplies,
equipment and materials may be made on a nonreimbursed
basis, provided the borrowing agency agrees to assume the
costs incurred by reason of the loan. However, the
supplying agency must be fully reimbursed for transfers
which are or could become permanent. (59 Comp. Gen. 366
(1980))
h. Costs are not subject to prior audit. Costs
charged by the servicing agency are to be accepted without
audit unless they appear unreasonable.
...the servicing agency is bound by the general
requirement that the services be furnished at
cost, but such responsibility does not extend to
•(the ordering agency's) auditing the costs of the
servicing agency to determine the correctness of
the charges made by it and (the ordering agency)
may contract for such interagency services and
2.III-4
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SEPT. 1988
pay charges therefore at rates established by the
servicing agency so long as they are...based upon
the cost of rendering the-service and do not
appear excessive. (32 Comp. Gen. 479 (1953))
C. Obligations
The term "commitment of funds" as used in the
interagency agreement process has no legal basis in
appropriation law. Commitments are simply informal
"reservations" against the agency's total funds. They are
established, in the case of IAGs, after the Decision
Official approves a disbursement IAG package. At this
moment—and even after the IAG is signed by the Action
Official—there is no binding obligation on the part of
the Government or agency. In order for CFMC to properly
record an obligation, both the requesting agency and
performing agency must sign the IAG document.
Under appropriation law:
An amount shall be recorded as an obligation of the
United States Government only when supported by
documentary evidence of—
--"
A binding agreement between an agency and another
person (including an agency) that is—
in writing, in a way and form, and for a
purpose authorized by law; and
., executed before che end of the period of
availability for obligation of the
appropriation of fund used for specific
goods to be delivered, real property to be
bought or leased, or work or service to be
provided: (31 USC 1501 (a)(l))
Economy Act agreements are subject to an additional
requirement. The requesting agency must deobligate the
funds at the end of the fiscal year or period of
availability to the extent the performing agency has not
completed performance or incurred valid obligations prior
to the end of the fiscal year (for an annual
appropriation). (58 Comp. Gen. 471 (1979))
An order placed or agreement made under this section
obligates an appropriation of -che ordering agency or
unit. The amount obligated is deobligated to the extent
that the agency or unit filling the order has not incurred
obligations, before the end of the period of availability
of the appropriation, in—
2.III-5
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SEPT. 1988
providing goods or services; or
making an authorized contract with another person
to provide the requested goods or services (31
USC 1535 (d))
1. Economy Act and Other Inter- or Intra-Agency Agreements
Pursuant to 31 USC 1535 (d) of the Economy Act
(formerly 31 USC §686-1) where work is performed by one
agency for another agency for a period covering more than
one fiscal year, the respective annual appropriations must
be- charged only for the work performed or services
rendered in a particular fiscal year. (55 Comp. Gen. 1497
(1976))
Interagency Agreements entered into under the Economy
Act are recorded as obligations under 31 USC 1501 (a)(l)
(formerly 31 USC 200). However, because of 31 USC
1535(d), funds recorded as obligations must be deobligated
at the end of the fiscal year charged to the extent that
the performing or procuring agency has not incurred valid
obligations under the agreement. If the requisitioned
agency chooses to perform the work by contract with a
nongovernmental source, then it is necessary to determine
whether, under the contract, the requisitioned agency
validly obligated these funds. (58 Comp, Gen. 471 (1979))
On the other hand, if the interaqency agreement is
based upon some statutory authority other than the Economy
Act, for example, EPA statutory authority to enter, into
interagency agreements, 31 USC 1535(d) (formerly 31 USC
§ 686-1) does not apply. (55 Comp. Gen 1497 (1976))
Therefore, amounts properly recorded as an obligation
under 31 USC 1501 (a)(l) may be available to liquidate the
obligation (see the discussion in the next paragraph)
during the entire period of performance.
It is important to remember, however, that GAO has
long held that in order to properly obligate a fiscal year
appropriation for payments in a succeeding year, a
contract must have been made to meet a bona fide need of
the fiscal year. (33 Comp. Gen. 57, 61 (1953)) In this
respect, any interagency agreement, whether or not under
the Economy Act, is treated like a Federal procurement
contract.
That is, whether appropriated funds are properly
obligated on the interagency agreement in the first place
depends on whether the agreement is for severable or
nonseverable services, or a product, etc. If the
interagency agreement is not based on the Economy Act and
is for an end product or nonseverable services, the
2,111-6
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SEPT. 1988
amounts recorded for obligation are available to liquidate
the obligation during the entire period of performance.
If the agreement-is for severable services, the amounts
recorded are not available during the entire period of
performance. Remember, Economy Act agreements are subject
to the additional restriction of 31 USC § 1535(d). (See
55 Comp. Gen. 1497 (1976))
2. Inter- or Intra-Agency Orders
There are three types of orders to consider:
Inter-agency or intra-agency orders under the Economy Act,
orders required by law or statutory regulation to be
placed with a particular agency and orders voluntarily
placed pursuant to some authority other than the Economy
Act.
The Economy Act authorizes orders to be placed with
another agency or department. However, amounts recorded
for orders placed under the Economy Act, which are
chargeable to the requesting agency's appropriations
available for only one fiscal year or for some other
limited period of time, are reijuired by 31 USC S I535(d)
to be deobligated to the extent the' performing agency has
not performed the work or incurred valid obligations by
contract.
There is another group of orders to consider. Under
31 USC § 1501(a)(3) an amount may be recorded as an
obligation if the transaction is supported by documentary
evidence of "an order required by law to be placed with [a
Government] agency." The word "law" includes statutes and
statutory regulations. (34 Comp. Gen. 705, 707 (1955))
Orders required by law to be placed with another
Government agency are not issued under the Economy Act
and, for that reason, are not ssubject to 31 USC § 1535(d)
(formerly 32 USC § 686-1). Foi: these orders, the agency
incurs an obligation at the tine the order is placed. (31
USC S 1501(a)(3)) Therefore, there is no requirement
under the Economy Act to deobligate at the end of the
period of availability for unfilled portions of the
order. (59 Comp. Gen. 602, 60:t (1980)) However, an
adjustment in the obligation should be made to reflect
actual expenditures.
If the orders are not required by law to be placed
with a Government agency, so called voluntary orders,
issuing the job order itself, does not create a legal
obligation. A legal obligation is incurred when services
are performed by the requisitioned agency or when a
contract is entered into for the work. (34 Comp. Gen.
705, 708 (1955))
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3. No-Year Appropriations -Deobligation Requirement
No-year funds remain available for obligation until
expended, obviously, with no fiscal year restriction.
They are available for obligation for an indefinite period
of time. Therefore, Economy Act interagency agreements
which are chargeable to no-year appropriations are not
subject to the deobligation requirement of 31 USC
1535(d). (39 Comp. Gen. 317 (1959)) This is so
regardless of the obligation-availability status of the
funds in the hands of the performing agency.
4. . Restriction to obligations and reimbursements
The Economy Act applies only when there is no other
statute which specifically authorizes the provider agency
to render the service in question and when the requested
service is not part of its mission for which it has
already received appropriated funds. (59 Comp. Gen. 415
(1980)) Therefore, if one agency is required by law to
provide a service and funds are appropriated for that
service (even if the appropriation is inadequate), the
Economy Act does not apply when those services are
provided to another agency. Therefore, if the receiving
agency were to reimburse the provider agency for the
services, it would constitute an unauthorized transfer of
funds. Similarly, if the performing agency were to accept
such a reimbursement, it would constitute an unauthorized
augmentation of its appropriation. (59 Comp. Gen. 415%
516 (1980))
D. Deposits and Credits
In instances where an agency requires advances for
work to be performed under an interagency agreement, such
advances are deposited to special working funds authorized
for that agency. When there are no advances required,
reimbursements for work performed under authority of the
Economy Act and Intergovernmental Cooperation Act must be
credited to the appropriation charged for the services or,
when appropriate, be deposited in the Treasury as
miscellaneous receipts. (56 Comp. Gen. 275, 278 (1977))
An advance payment made on an order under section 1535
. of this title is credited to a special working fund
that the Secretary of the Treasury considers necessary
to be established. Except as provided in this
section, any other payment is credited to the
appropriation or fund against which charges were made
to fill the order.
An amount paid under section 1535 of this title may be
expended in providing goods or services or for purpose
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specified for the appropriation or fund credited.
Where goods are provided from stocks on hand, the
amount received in payment is credited so as to be
available to replace the good unless—
another law authorizes the .amount to be
credited to some other appropriation or
fund; or
the head of the executive agency filling the
order decides th*t replacement is not
necessary, in which case, the amount
received is depoisited in the Treasury as
miscellaneous receipts.
(31 USC I535(a), (b))
Payment received by an executive agency for providing
services under this section shall be deposited to the
credit of the principal appropriation from which the
cost of providing the services has been paid or will
be charged. (31 USC 6505(c))
The fact that any single cost element included in the
reimbursement may exceed the agency's budgeted replacement
expenses for the year does not limit or preclude the full
amount of reimbursement from being credited to the
appropriation (e.g., replacement expenditures).
...the performing agency properly may be
reimbursed for items which commonly are
recognized as elements of cost, notwithstanding
such items may not have resulted in direct
expenditures from the funds of the performing
agency. (22 Comp. Gen. 74 (1942))
Finally, law requires that monies received are to be
deposited promptly.
Except as provided in section 3718(b) of this
title, an official or agent of the Government
receiving money for the Government from any
source shall deposit -che money in the Treasury as
soon as practicable without deduction for any
charges or claim. (31 USC 3302(b))
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s,
IV. PROGRAM AUTHORITIES
Specific laws provide EPA authority to conduct its
broad range of programs, thereby defining mission
responsibilities. Nine such laws are cited below to
provide examples of the types of activities which may be
the subject of an IAG executed pursuant to the Economy Act
or other- IAG authorities (see Section II of this chapter).
A. Pesticides Programs: Federal Environmental Pesticides
Control Act of 1972
General and specific program authority:
1. Cooperation in international efforts
The Administrator shall, in cooperation with the
Department of State and any other appropriate Federal
agency, participate and cooperate in any international
efforts to develop improved pesticide research and
regulations. (7 USC §136o(d))
2. Research and monitoring
The Administrator shall undertake research, including
research by grant or contract with other Federal agencies,
universities, or others as may be necessary to carry out
the purpose of this subchapter, and he shall conduct
research into integrated pest management in coordination
with the Secretary of Agriculture...(7 USC §136r(a))
The Administrator shall undertake such monitoring
activities, including, but not limited to monitoring in
air, soil, water, man, plants, and animals, as may be
necessary...Such activities shall be carried out in
cooperation with other Federal, State, and local
agencies. (7 USC §136r(c»
3. Delegation and cooperation
The Administrator shall cooperate with the Department
of Agriculture, any other Federal agency, and any
appropriate agency of any State or any political
subdivision thereof, in securing uniformity of
regulations. {7 USC S136t(b)> . .
4. Identification of pests
The Administrator, in coordination with the Secretary
of Agriculture, shall identify those pests that must be
brought under control. The Administrator shall also
coordinate and cooperate with the secretary of
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»
Agriculture's research and implementation programs to
develop and improve the safe use and effectiveness of
chemical, biological, and alternative methods to combat
and control pests...(7 USC §136w-3)
In addition, the Administrator may enter into
contracts with Federal, State, or Indian tribal agencies
for the purpose of encouraging the training of certified
applicators. (7 USC §136u(b)>
B. Toxic Programs: Toxic Substance Control Act of 1976,
as amended
General and specific program authority:
1. Research, development, and monitoring
The Administrator shall, in consultation and
cooperation with the Secretary of Health, and Human
Services and with other heads of appropriate departments
and agencies, conduct such research, development, and
monitoring as is necessary to carry out the purposes of
this chapter. The Administrator may enter into contracts
and may make grants for research, development, and
monitoring under this section...(15 USC §2609(a)>
2. Data collection, dissemination, and utilization
The Administrator shall, in consultation and
cooperation with the Secretary of Health and Human
Services and other heads of appropriate departments and
agencies design, establish, and coordinate an efficient
and effective system for the retrieval of toxicological
and other scientific data which could be useful to the
Administrator. . .<15 USC §2609{b)(2)(A))
3. Screening techniques
. The Administrator shall coordinate, with the Assistant
Secretary for Health of the Department of Health and Human
Services, research undertaken by the Administrator and
directed toward the development of rapid, reliable, and
economic screening techniques for carcinogenic, mutagenic,
teratogenic, and ecological effects of chemical substances
and mixtures. (15 USC §2609(c))
4. Monitoring
The Administrator shall, in consultation and
cooperation with the Secretary of Health and Human
Services, establish and be responsible for research aimed
at the development, in cooperation with local, State, and
Federal agencies, of monitoring techniques and instruments
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which may be used in the detection of toxic chemical
substances and mixtures and which are reliable,
economical, and capable of being implemented under a wide
variety of conditions. (15 USC §2609{d))
5. Basic research ,
The Administrator shall, in consultation and
cooperation with the Secretary of Health and Human
Services, establish research programs to develop the
fundamental scientific basis of the screening and
monitoring techniques described in subsection (c) and (d)
of'this section, the bounds of the reliability of such
techniques, and the opportunities for their improvement.
(15 USC S2609(e))
6. Training
The Administrator shall establish and promote programs
and workshops to train or facilitate the training of
Federal laboratory and technical personnel in existing or
newly developed screening and monitoring techniques.
(15 USC S2609(f))
7. Exchange of research and development results
The Administrator shall, in consultation with the
Secretary of Health and Human Services and other heads of
appropriate departments and agencies, establish and
coordinate a system for exchanging among Federal, State,
and local authorities of research and development results
respecting toxic chemical substances and mixtures,
including a system to facilitate and promote the
development of standard data fcrmat and analysis and
consistent testing procedures. (15USC §2609(g))
8. Cooperation of Federal agencies
Upon request by the Administrator, each Federal
department and agency is authorized:
To make its services, personnel, and facilities
available (with or without reimbursement) to the
Administrator to assis;t the Administrator in the
administration of this; chapter; and
To furnish to the Administrator such information,
data, estimates, and statistics and to allow the
Administrator access to all information in its
possession as the Administrator may reasonably
determine to be necessary for the administration
of this chapter. (15 USC S2625(a))
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9. Asbestos Hazard Emergency Response
a. Department of Defense Schools
The Secretary of Defense, in cooperation with the
Administrator, shall, to extend feasible and consistent
with the national security, take such action as may be
necessary to provide for the identification, inspection,
and management (including abatement) of asbestos in any
building used by the Department of Defense as an overseas
school for dependents of members of the Armed Forces.
(15 USC 2643(1}(2))
b. Laboratory Accreditation
'The Administrator shall provide for the development of
an accreditation program for laboratories by the National
Bureau of Standards in accordance with paragraph (2). The
Administrator shall transfer such funds as are necessary
to the National Bureau of Standards to carry out such
program. (15 USC 2646(d)(D)
C. Water Programs: Federal Water Pollution Control Act
(Clean Water Act), as amended
General and specific program authority:
1. Comprehensive programs for"water pollution control
The Administrator shall, after careful investigation,
and in cooperation with other Federal agencies, State
water pollution control agencies, interstate agencies, and
the municipalities and industries involved, prepare or
develop comprehensive programs for preventing, reducing,
or eliminating the pollution programs for preventing,
reducing, or eliminating the pollution of the navigable
waters and ground waters and improving the sanitary
conditions of surface and underground waters...the
Administrator is authorized to make joint investigations
with any such agencies of the condition of any waters in
any State or States, and of the discharge of any sewage,
industrial wastes, or substance which may adversely affect
such waters. (33 USC 1252(a))
2. Interstate cooperation and uniform laws
The Administrator shall encourage cooperative
activities by the States for the prevention, reduction,
and elimination of pollution, encourage the enactment of
improved and, so far as practicable, uniform State laws
relating to the prevention, reduction, and elimination of
pollution; and encourage compacts between states for the
prevention and control of pollution. (33 USC 1253(a))
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3. Research, investigations, training, and information
The Administrator shall establish national programs
for the prevention, reduction, and elimination of
pollution and as part of such programs .shall—
In cooperation with other Federal, State, and
local agencies, conduct and promote the
coordination and acceleration of, research,
investigations, experiments, training,
demonstrations, surveys, and studies relating to
the causes, effects, oxtent, prevention,
reduction, and elimination of pollution;
Encourage, cooperate with, and render technical
services to pollution control agencies and other
appropriate public or private agencies,
institutions, and organizations, and individuals,
including the general public, in the conduct of.
activities referred to in paragraph (1) of this
subsection;
Conduct, in cooperation with State water
pollution control agencies and other interested
agencies, organizations and persons, public
investigations concerning the pollution of any
navigable waters, and report on the results of
such investigations;
In cooperation with the States, and their
political subdivisions:, and other Federal
agencies establish, equip, and maintain a water
quality surveillance siystem. . .
Initiate and promote the coordination,and
acceleration of research designed to develop the
most effective practicable tools and techniques
for measuring the social and economic costs and
benefits of activities; which are subject to
regulation under this chapter;...(33 USC 1254{a)
(X), (2), (3), (5), «i»
In carrying out the provisions of subsection (a) of
this section the Administrator is authorized to—
Cooperate with other Federal departments and
agencies, State water pollution control
agencies, interstate agencies, other public
and private agencies, institutions,
organizations, industries involved, and
individuals, in the preparation and conduct
of such research and other activities
referred to in paragraph (l) of subsection
(a) of this section;
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Collect and disseminate, in cooperation with
other Federal departments and agencies, and
with other public or private agencies,
institutions, and organizations having
related responsibilities, basic data on
chemical, physical, and biological effects
of varying water quality and other
information pertaining to pollution and the
prevention, reduction, and elimination
thereof. (33 USC 1254 (b)(2), (5), (6));
Conduct.research on the harmful effects on
the health and welfare of persons caused by
pollutants in water, in conjunction with the
United States Fish and Wildlife Service, the
National Oceanic and Atmospheric
Administration, and other Federal, State,
and interstate agencies carrying on such
research. (33 USC 1254(a))
4. Facilities for National Marine Water Quality Laboratory
The Administrator shall establish, equip, and maintain
field laboratory and research facilities...for the conduct
of research, investigations, experiments, field
demonstrations and studies, and training relating to the
prevention, reduction, and elimination of pollution...In
conjunction with the.development of criteria under section
1343 of this title, and Administrator shall construct the
facilities authorized for the National Marine Water
Quality Laboratory established under this subsection.
(33 USC 1254(e»
5. Great Lakes water quality
The Administrator shall conduct research and technical
development work, and make studies, with respect to the
quality of the waters of the Great Lakes...
(33 USC 1254(f))
6. Treatment works personnel training and employment
forecasting
...the Administrator shall finance pilot programs, in
cooperation with State and interstate agencies,
municipalities, educational institutions, and other
organizations and individuals, of manpower development and
training and retraining of persons in, or entering into,
the field of operation and maintenance of treatment works
and related activities...The Administrator is authorized,
under such terms and conditions as he deems appropriate,
to enter into agreements with other public or private
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agencies or institutions for the development and
implementation of such a program.
The Administrator is authorized to enter into
agreements with public and private agencies and
institutions, and individuals 1:0 develop and maintain an
effective system for forecasting the supply of, and demand
for, various professional and.other .occupational
categories needed for the prevention, reduction, and
elimination of pollution in each region, State, or area of
the United States... (33 USC :L254(g)(l), (2))
1'. Oil pollution
The Administrator, in cooperation with the Secretary
of the department in which the Coast Guard is operating
shall engage in such research, studies, experiments, and
demonstrations as he deems appropriate, relative to the
removal of oil from any waters and to the prevention,
control, and elimination of oil and hazardous substances
pollution. . .(33 USC 1254(1) (1»
8. Effects and control of pesticides in water
The President shall, in consultation with appropriate
local, State, and Federal agencies, public and private
organizations, and interested individuals, conduct studies
and investigations of methods 1:0 control the release of
pesticides into the environment which study shall include
examination of the persistency of pesticides in the water
environment and alternatives thereto...
(33 USC 1254(a)(D)
9. Effects of pollution on estuaries
The Administrator shall, in cooperation with the
Secretary of the Army, the Secretary of Agriculture, the
Water Resources Council, and with other appropriate
Federal, State, Interstate, or local public bodies and
private organizations, institutions, and individuals,
conduct and promote, and encou::age contributions to,
continuing comprehensive studios of the effects of
pollution, including sedimentation, in the estuaries and
estuarine zones of the United States on fish and wildlife,
on sport and commercial fishing, on recreation, on water
supply and water power, and on other beneficial
purposes... (33 USC I254(n)(i»
10. Sewage flow and unnecessary water consumption
The Administrator shall conduct research and
investigations on devices, systems, incentives, pricing
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policy, and other methods of reducing the total flow of
sewage... (33 USC 1254 (o)(l))
11. Agriculture pollution
...the Administrator shall, in cooperation with the
Secretary of Agriculture, other Federal agencies, and the
States, carry out a comprehensive study and research
program to determine new and improved methods and the
better application of existing methods of preventing,
reducing, and eliminating pollution from agriculture...
(33,USC 1254(p))
12. Sewage in rural areas
The Administrator shall conduct a comprehensive
program of research and investigation and pilot project
implementation into new and improved methods of
preventing, reducing, storing, collecting, treating, or
otherwise eliminating pollution from sewage in rural and
other areas...
The Administrator shall conduct a comprehensive
program of research and investigation and pilot project
implementation into new and improved methods for the
collection and treatment of sewage and other liquid wastes
combined with the treatment and disposal of solid
wastes... (33 USC 1254(q)(1)(2))
13. Thermal discharges
The Administrator shall, in cooperation with State and
Federal agencies and public and private organizations,
conduct continuing comprehensive studies of the effects
and methods of control and thermal discharges...
(33 USC 1254(t))
14. Mine water pollution control
The Administrator, in cooperation with the Appalachian
Regional Commission and other Federal agencies, is
authorized to conduct, to make grants for, or to contract
for, projects to demonstrate comprehensive approaches to
the elimination or control of acid or other mine water
pollution... (33 USC 1257(a)>
15. Pollution control in Great Lakes
The Administrator, in cooperation with other Federal
departments, agencies, and instrumentalities, is
authorized to enter into agreements with any State,
political subdivision, interstate agency, or other public
agency, or combination thereof, to carry out one or more
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projects to demonstrate new methods and techniques and to
develop preliminary plans for the elimination or control
of pollution, within all or any part of the watersheds of
the Great Lakes... (33 USC I258(a))
16. Lake Erie demonstration program
In recognition of the serious conditions which exist
in Lake Erie, the Secretary of the Army, acting through
the Chief of Engineers, is directed to design and develop
a demonstration waste water management program for the
rehabilitation and environmental repair of Lake Erie...
This program is to be developed in cooperation with
the Environmental Protection Agency, other interested
departments, agencies, and instrumentalities of the
Federal Government, and the States and their political
subdivisions... (33 USC I258(d)(l), (2))
17. Alaska Village demonstration projects
The Administrator is authorized to enter into
agreements with the State of Alaska to carry out one or
more projects to demonstrate methods to provide for
central community facilities for safe water and
elimination or control of pollution in those native
villages of Alaska without such facilities...
(33 USC 1263(a))
In carrying out this section the Administrator shall
cooperate with the Secretary of Health and Human Services
for the purpose of utilizing such of the personnel and
facilities of that Department as may be appropriate...
(33 USC 1263(b))
The Administrator is authorized to coordinate with the
Secretary of the Department of Health and Human Services,
the Secretary of the Department of Housing and Urban
Development, the Secretary of the Department of the
Interior, the Secretary of the Department of Agriculture,
the heads of any other departments or agencies he may deem
appropriate to conduct a "joint istudy with representatives
of the State of Alaska and the ;appropriate Native
organizations (as defined in Public Law 92-203) to develop
a comprehensive program for achieving adequate sanitation
services in Alaska villages... (33 USC 1263(e))
The Administrator is authorized to provide technical,
financial, and management assistance for operation and
maintenance of the demonstration projects constructed
under this section... (33 USC 1263(f))
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18. Hudson River reclamation demonstration projects
The Administrator is authorized to enter into
contracts and other agreements with the State of New York
to carry out a project to demonstrate methods for the
selective removal of polychlorinated biphenyls
contaminating bottom sediments of the Hudson River...
(33 USC 1266(a))
19. Chesapeake Bay Program
The Administrator shall continue the Chesapeake Bay
Program and shall establish and maintain in the
Environmental Protection Agency an office, division, or
branch of Chesapeake Bay Programs...(2) to coordinate
Federal and State efforts to improve the water guality of
the Bay. {33 USC 1267(a)(2))
20. Great Lakes Management
The [Great Lakes National] Program Office shall-
in cooperation with appropriate Federal, State,
tribal, and international agencies,...develop and
implement specific action plans to carry out the
responsibilities of the United States under the
Great Lakes Water Quality Agreement of 1978;
coordinate actions of the Agency with the actions
of other Federal agencies and state and local
authorities.
The Administrator shall ensure that the Program Office
enters into agreements with the various organizational
elements of the Agency involved in Great Lakes activities
and the appropriate State agencies specifically
delineating-
the duties and responsibilities of each such
element in the Agency with respect to the Great
Lakes;
the time periods for carrying out such duties and
responsibilities; and
the resources to be committed to such duties and
responsibilities. (33 USC I268
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environmental research program and data b'ase for the Great
Lakes system. . .The Research Ofiiice shall conduct, through
the Great Lakes Environmental Research Laboratory, the
National Sea Grant College program, other Federal
laboratories, and the private sector, appropriate research
and monitoring activities. (3CJ USC 1268(d) (5), (6)).
The Administrator shall enter into agreements with the
Secretary of Agriculture, the Secretary of the Army, and
the Secretary of the Interior, and the heads of such other
departments, agencies, and instrumentalities of the United
States as the Administrator determines, to provide for the
maximum utilization of other Federal laws and programs for
the purpose of achieving and maintaining water quality
through appropriate implementation of plans approved under
section 1288 of this title and nonpoint source pollution
management programs approved under section 1329 of this
title. <33 USC 1314 (k)(D)
22. Nonpoint Source Management Programs
Upon request of a State, the Administrator may provide
technical assistance to such S'cate in developing a
[nonpoint source] management p-rogram. . . (33 USC 1329(f)>
23. National Estuary Program
The Governor of any State may nominate to th'e
Administrator an estuary lying in whole or in part within
the State as an estuary of national significance and
request a management conference to develop a comprehensive
management plan for the estuary. (33 USC 1330(a)(l)>
In order to determine the need to convene a management
conference under this section or at the request of such a
management conference, the Administrator shall coordinate
and implement, through the National Marine Pollution
Program Office and the National Marine Fisheries Service
of the National Oceanic Atmospheric Administration, as
appropriate, for one or more estuarine zones Ca research
program].
The Administrator, in cooperation with the
Administrator of the National Oceanic and Atmospheric
Administration, shall submit to the Congress no less often
than biennially a comprehensive report on the activities
authorized under this subsection. (33 USC 1330 (j)(l),(2))
24. Utilization of other agencies
The Administrator, with the consent of the head of any
other agency of the United States, may utilize such
officers and employees of such agency as may be found
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necessary to assist in carrying out the purposes of this
chapter. (33 USC 136Kb))
25. Detail of EPA personnel
Upon the request of a State water pollution control
agency, personnel of the Environmental Protection Agency
may be detailed to such agency for the purpose of carrying
out the provisions of this chapter. (33 USC 1361(f))
26. Indian Tribes
• The Administrator, in cooperation with the Director of
the Indian Health Service, shall assess the need for
sewage treatment works to serve Indian tribes...
(33 USC 1377(b))
27. Log Transfer Facilities
The Administrator and Secretary of the Army shall
enter into an agreement regarding coordination of
permitting, for log transfer facilities... (The Water
Quality Act of 1987 (WQA), Pub. L. 100-4, sec. 407)
28. Great Lakes Consumptive Use Study
The Secretary of the Army in cooperation with the
Administrator, other interested departments, agencies, and
instrumentalities of the United States, and the eight
Great Lakes States, is authorized to conduct a study of
the effects of Great Lakes water consumption on economic
growth and environmental quality in the Great Lakes region
and of control measures that can be implemented to reduce
the quantity of water consumed. (WQA, Pub. L. 100-4, sec.
521)
29. Dam Water Quality Study
The Administrator, in cooperation with interested
States and Federal agencies, shall study and monitor the
effects on the quality of navigable waters attributable to
the impoundment of water by dams. (WQA, Pub. L. 100-4, sec
524)
Special requirements and limitations:
30. Water quality surveillance
The Administrator shall establish national programs
for the prevention, reduction, and elimination of
pollution and as part of such programs shall... to- the
extent practicable, conduct such surveillance by utilizing
the resources of the National Aeronautics and Space
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Administration, the National Oceanic and Atmospheric
Administration, the Geological Survey, and the Coast
Guard... (33 USC 1254(a)(5))
31. Harmful effects of pollutants on health and welfare
In carrying out the provision of subsection (a) of
this section the Administrator shall conduct research on,
and survey the results of other scientific studies on, the
harmful effects on the health or welfare of persons caused
by pollutants. In order to avoid duplication of effort,
the Administrator shall, to tho extent practicable,
conduct such research in cooperation with and through the
facilities of the Secretary of Health and Human Services.
(33 USC 1254(C»
32. Pollution control in Great Lakes
Federal participation in such projects (Great Lakes
demonstration projects) shall be subject to the condition
that the State, political subdivision, interstate agency
or other public agency, or combination thereof, shall pay
not less than 25 per centum of the actual project costs...
(33 USC 1258(b»
33. Technical assistance for w;aste treatment
The Administrator is authorized, upon request of the
Governor or the designated planning agency, and without
reimbursement, to consult with, and provide technical
assistance to, any agency desi'jnated under subsection (a)
of this section in the development of areawide waste
treatment management plans under subsection (b) of this
section. (33 USC 1288(g»
D. Water Programs: Marine Protection, Research and
Sanctuaries Act of 1972
General and specific program authority:
1. Utilization of other departments, agencies, and
instrumentalities
The Administrator or the Secretary, as the case may
be, may, whenever appropriate, utilize by agreement, the
personnel, services and facilities of other Federal
departments, agencies, and instrumentalities, or State
agencies or instrumentalities, whether on a reimbursable
or a nonreimbursable basis, in carrying out his
responsibilities under this subchapter. (33 USC 1417(a))
The Administrator or the Secretary may delegate
responsibility and authority for reviewing and evaluating
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permit applications, including the decision as to whether
a permit will be issued, to an officer of his agency, or
he may delegate, by agreement,, such responsibility and
authority to the heads of other Federal departments or
agencies, whether ,on a reimbursable or nonreimbursable
basis. (33 USC L417(b))
2. Research programs
The Secretary of Commerce, in consultation with other
appropriate Federal departments, agencies, and
instrumentalities shall, within six months of October 23,
1972, initiate a comprehensive and continuing program of
research with respect to the possible long-range effects
of pollution, overfishing, and man-induced changes of
ocean ecosystems... (33 USC 1442(a))
3. Cooperation among agencies
Each department, agency, and independent
instrumentality of the Federal Government is authorized
and directed to cooperate with the Secretary of Commerce
in carrying out the purposes of this section and, to the
extent permitted by law, to furnish such information as
may be requested. (33 USC 1442(d))
The Secretary of Commerce, in carrying out his
responsibilities under this section, shall, to the extent
feasible, utilize the personnel, services, and facilities
of other Federal departments, agencies, and
instrumentalities (including those of the Coast Guard for
monitoring purposes), and is authorized to enter into
appropriate interagency agreements to accomplish this
action (33 USC 1442(e))
The Administrator of the Environmental Protection
Agency shall encourage, cooperate with, promote the
coordination of, and render financial and other assistance
to appropriate public (whether Federal, State, interstate,
or local) authorities, agencies, and institutions, private
agencies and institutions, and individuals in the conduct
of, and to promote the coordination of, research,
investigations, experiments, training, demonstration
surveys, and studies for the purpose of determining means
of minimizing or ending all dumping of materials... (USC
33 1443(a)(2))
2.IV-14
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SEPT. 1988
E. Water Programs: Safe Drinking Water Act of 1974, as
amended
General and special program authority:
1. Research, studies, and demonstrations
The Administrator may conduct research, studies, and
demonstrations to the causes, diagnosis, treatment,
control, and prevention of physical and mental diseases
and other impairments of man resulting directly or
indirectly from contaminants in water, or to the provision
of a dependably safe supply of drinking water...
(42 USC 300j-l(a)(l)>
2. Technical assistance
The Administrator shall, to the maximum extent
feasible, provide technical assistance to the States and
municipalities in the establishment and administration of
public water system supervision programs...
(42 USC 300j-l(a)(2)(A»
3. Studies
The Administrator shall carry out a study of methods
of underground injection which do not result in the
degradation of underground drinking water sources...
methods preventing, detecting, and dealing with surface
spills of contaminants which may degrade underground water
sources for public water systems...virus contamination of
drinking water sources and means of control of such
contamination...nature and extent of the impact on
underground water which supplies or can reasonably be
expected to supply public water systems of (A) abandoned
injection or extraction wells; (B) intensive application
of pesticides and fertilizers in underground water
recharge areas; and (C) ponds, pools, lagoons, pits, or
other surface disposal of contaminants in underground
water recharge areas...public water supplies and drinking
water sources to determine the nature, extent, sources of
and means of control of contamination by chemicals or
other substances' suspected or teing carcinogenic...
reaction of chlorine and humic acids and the effects of
the contaminants which result from such reaction on public
health and on the safety of drinking water, including any
carcinogenic effeet... and polyclorinated biphenyl
contamination of such sources by other substances known or
suspected to be harmful to public health, the effects of
such contamination, and means of removing, treating, or
otherwise controlling such contamination. To assist in
carrying out this paragraph, the Administrator is
2.IV-15
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SEPT. 1988
authorized to make grants to public agencies, and private
nonprofit institutions. (42 USC 300J-K5) through (11))
4. Training programs
The Administrator shall...provide training for, and
make grants for training (including postgraduate training)
of (A) personnel of State agencies which have primary
enforcement responsibility and of agencies or units of
local government to which enforcement responsibilities
have been delegated by the State, and (B) personnel who
manage or. operate public water systems, and
Reasonable fees may be charged for training provided
under paragraph 4(B) to persons other than personnel of
State or local agencies but such training shall be
provided to personnel of State of local agencies without
charge. (42 USC 300j-l(d)).
5. Technical Assistance for Small Systems
The Administrator is authorized to provide technical
assistance to small public water systems to enable such
systems to achieve and maintain compliance with national
drinking water regulations. Such assistance may include
'circuit-rider' programs, training, and preliminary
engineering studies. (42 USC 300j-l(g)).
6. .Utilization of officers and employees of Federal
agencies
The Administrator, with the consent of the head of any
other agency of the United States, may utilize such
officers and employees of such agency as he deems
necessary to assist him in carrying out the purposes of
this subchapter. (42 USC 300j-9(b))
7. Assignment of Agency personnel to State or local
agencies
Upon the request of a State or interstate agency, the
Administrator may assign personnel of the Agency to such
State or interstate agency for the purposes of carrying
out the provisions of this subchapter. (42 USC 300j-9(c))
Special requirements and limitations:
8. Technical- assistance
The Administrator is authorized to provide technical
assistance and to make grants to States, or publicly owned
water systems to assist in responding to and alleviating
any emergency situation affecting public water systems...
2.IV-16
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SEPT. 1988
The Administrator may carry out: the program authorized
under this subparagraph as part; of, and in accordance with
the terms and conditions of, any other program of
assistance for environmental emergencies which the
Administrator is authored to cjirry out under any other
provision of law. No limitation on appropriations for any
such other program shall apply to amounts appropriated
under this subparagraph. (42 USC 300j-l(a)(2) (B»
9. Study of contaminant levels;
The Administrator shall enter into appropriate
arrangements with the National Academy of Sciences (or
with another independent scientific organization if
appropriate arrangements cannot: be made with such Academy)
to conduct a study to determines (a) the maximum
contaminant levels which should be recommended under
subsection (b) (2) of this section in order to protect the
health of persons from any knovni or anticipated adverse
effects, and (b) the existence of any contaminants the
levels of which in drinking water cannot be determined but
which may have and adverse effesct on the health of
persons. (42 USC 300g-l(e)(1))
P. R&DPrograms: Noise Control Act of1972
General and specific program authority:
1. Research and public information
To promote the development of effective State and
local noise control programs, to provide an adequate
.Federal noise control research program designed to meet
the objectives of this chapter, and to otherwise carry out
the policy of this chapter, the Administrator shall, in
cooperation with other Federal agencies and through the
use of grants, contracts, and direct Federal actions—
a. develop and disseminate information and
educational materials to all segments of the public on
the public health and other- effects of noise and the
most effective means for noise control,..
b. conduct or finance research directly or with any
public or private organization or any person on the
effects, measurement, and control of noise...
c. administer a nationwide Quiet Communities
Program...
d. develop and implement a national noise
environmental assessment program...
2.IV-17
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SEPT. 1988
e. establish regional technical assistance centers
which use the capabilities of university and private
organizations to assist State and local noise control
programs;
f. provide technical assistance to State and local
governments to facilitate their development and
enforcement of noise control, including direct onsite
assistance of agency or other personnel with technical
expertise, and preparation of model State or local
legislation for noise control... (42 USC 4913 (a)
through (f))
G. Solid Waste Programs: Resource Conservation and
Recovery Act of 1976 (Solid Waste Disposal Act), as
amended
General and specific program authority:
1. Assistance to States
Provide technical and financial assistance to States
or regional agencies in the development and implementation
of solid waste plans and hazardous waste management
programs. (42 USC 6912(a)(3»
2. Utilization of personnel of other agencies
The Administrator is authorized is authorized to
utilize the information, facilities, personnel and other
resources of Federal agencies, including the National
Bureau of Standards and the National Bureau of the Census,
on a reimbursable basis, to perform research and analyses
and conduct studies and investigations related to resource
recovery and conservation and to otherwise carry out the
Administrator's functions under this chapter.
(42 USC 6912(a)(5»
3. Identification and listing
The Administrator, in cooperation with the Agency for
Toxic Substances and Disease Registry and the National
Toxicology Program, shall also identify or list those
hazardous wastes which shall be subject to the provisions
of this subtitle solely because of the presence in such
wastes of certain constituents (such as identified
carcinogens, mutagens, or teratagens) at levels in excess
of levels which endanger human health. (42 USC 6921(b)(D)
4. Interim Authorization
Pending interim or final authorization of a State
program for any State which reflects the amendments made
2.IV-18
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SEPT. 1988
by the Hazardous and Solid Waste Amendments of 1984, the
State may enter, into an agreement with the Administrator
under which the State may assist in the administration of
the requirements and prohibitions which take effect
pursuant to such Amendments. <42 USC 6926{c)(3)>
5. Health Assessments
Whenever... a landfill or a surface impoundment poses
a substantial potential risk to human health, due to the
existence of releases of hazardous constituents, the
magnitude of contamination with hazardous constituents
which may be the result of a rolease, or the magnitude of
the population exposed to such release or contamination,
the Administrator or the State (with the concurrence of
the Administrator) may request the Administrator of the
Agency for Toxic Substances and Disease Registry to
conduct a health assessment in connection with such
facility and take other appropriate action with respect to
such risks as authorized by section 104(b) and (i) of the
Comprehensive Environmental Response, Compensation and
Liability Act of 1980. If funds are provided in
connection with such request the'Administrator of such
Agency shall conduct such health assessment.
(42 USC 6939a (b)(2))
6. Technical assistance
[Tlhe Administrator may provide technical assistance
to State and local governments for purposes of developing
and implementing State plans...(42 USC 6948(d))
[T]he Administrator may, u;?on request, provide
technical assistance to States to"assist in the removal or
modification of legal, institutional, economic, and other
impediments to the recycling of used oil...
(42 USC 6948(d)(2))
The Administrator is authorized to provide technical
assistance to States, mulicipalities, regional
authorities, and intermunicipal agencies upon request, to
assist in the removal or modification of legal, ,
institutional, and economic impediments which have the
effect of impeding the development of systems and
facilities to recover energy a:ad materials from municipal
waste or to conserve energy or materials which contribute
to the waste stream... (42 USC 6948 (d)(2)>
7. Interagency cooperation
All Federal agencies shall assist the Administrator in
carrying out his functions under this chapter and shall
promptly make available all re-quested information
2.IV-19
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SEPT. 1988
concerning past or present Agency waste management
practices and past or present Agency owned, leased, or
operated solid or hazardous waste facilities. This
information shall be provided in such format as may be
determined by the Administrator. (42 USC 6963(a))
8. Research, demonstrations, training, and other
activities
The Administrator, alone, or after consultation with
the Secretary of Energy, shall conduct, and encourage,
cooperate with, the render financial and other assistance
to-appropriate public (whether Federal, State, interstate,
or local) authorities, agencies, and institutions, private
agencies and institutions, and individuals in the conduct
of, and promote the coordination of, research,
investigations, experiments, training, demonstrations,
surveys, public education programs, and studies...
(42 USC 6981(a))
For carrying out the purpose of this chapter the
Administrator may detail personnel of the Environmental
Protection Agency to agencies eligible for assistance
under this section. (42 USC 6981(c)(4»
9. Special studies
The Administrator shall undertake a study...on
resource solid waste stream and of anticipated future
changes in the composition of such waste...various
existing and promising techniques of energy recovery from
solid waste...systems of small-scale and low technology
solid waste management...compatibility of front-end source
separation systems with high technology resource recovery
systems... adverse effects of solid wastes from active and
abandoned surface and underground mines on the
environment... sludge...discarded motor vehicle tires...
economies of, and impediments to the effective functioning
of resource-recovery facilities...economic, social, and
environmental consequences of resource conservations...
systems to alleviate the hazards to aviation from birds
congregating and feeding on landfills in the vicinity of
airports...adverse effects, if any, of drilling fluids,
produced waters, and other wastes associated with the
exploration, development; or production of crude oil or
natural gas or geothermal energy on human health and the
environment...adverse effects of human health and the
environment, if any, of the disposal and utilization of
fly ash waste, bottom ash waste, slag waste, flue gas
emission control waste, and other byproduct materials
generated materials generated primarily from the
combustion of coal or other fossil fuels...adverse effects
on human health and the environment, if any, of the
2.IV-20
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SEPT. 1988
disposal of cement kiln dust waste...adverse effects on
human health the environment, if any, of the disposal and
utilization of solid waste from the extraction,
beneficiation, and processing or ores and minerals...
(42 USC 6982
The Administrator is also authorized to carry out
demonstration projects to test and demonstrate methods and
techniques development pursuant: to subsection (a) of this
section. (42 USC 6985(b))
Special requirements and limitations:
11. Delegation of authority
[Tlhe Administrator is authorized to delegate to...the
Secretary of Transportation th€' performance of any
2.IV-21
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SEPT. 1988
inspection or enforcement function under this chapter
relating to the transportation of hazardous waste where
such delegation would avoid unnecessary duplication of
activity and would carry out the objectives of this
chapter and of the Hazardous Materials Transportation
Act. (41 USC 6912(a)(6))
12. Resource Conservation, and Recovery Panels
The Administrator shall provide teams of personnel,
including Federal, State, and local employees or
contractors (hereinafter referred to as "Resource
Conservation and Recovery Panels") to provide Federal
agencies, States and local governments upon request with
technical assistance on solid waste management, resource
recovery, and, resource conservation. Such teams shall
include technical, marketing, financial, and institutional
specialists, and the services of such teams shall be
provided without charge to States or local governments.
(42 USC 6913)
13. Full scale demonstration facilities
The Administrator may enter into contracts with public
agencies or authorities or private persons for the
construction and operation of a full-scale demonstration
facility under this chapter, or provide financial
assistance in the form of grants to full-scale
demonstration facility... (42 USC 6984(a)>
No obligation may be made by the Administrator for
financial assistance under this subchapter for any
full-scale demonstration facility after the date ten years
after October 21, 1976. No expenditure of funds for any
such full-scale demonstration facility under this
subchapter may be made by the Administrator after the date
fourteen years after October 21, 1976. (42 USC 6984(b))
Wherever-practicable, in constructing, operating, or
providing financial assistance under this subchapter to a
full-scale demonstration facility, the Administrator shall
endeavor to enter into agreements and make other
arrangements for maximum practicable cost sharing with
other Federal, State, and local agencies, private persons,
or any combination thereof.
The Administrator shall enter into arrangements,
wherever practicable and desirable, to provide monitoring
of full-scale waste facilities (whether or not constructed
or operated under this chapter) for purposes of obtaining
information concerning the performance, and other aspects,
of such facilities. Where the Administrator provides only
monitoring and evaluation instruments or personnel (or
2.IV-22
-------
SEPT. 1988
both) or funds for such instruments or personnel and
provides no other financial assistance to a facility,
notwithstanding section 698l(c>(3) of this title, title to
any invention made or conceived of in the course of
developing, constructing, or operating such facility shall
not be required to vest in the United States and patents
respecting such invention shall not be required to be
issued to the United States. (42 USC 6984(c)(1),(2))
After October 21, 1976, th« Administrator shall not
construct or operate any full-jicale facility (except by
contract with public agencies or authorities or private
persons). (42 USC 6984{d))
H. Air Programs; Clean Air Act
General and specific program authority:
1. Federal cooperation
The Administrator shall cooperate with and encourage
cooperative activities by all Federal departments and
agencies having functions relating to the prevention and
control of air pollution, so as; to assure the utilization
in the Federal air pollution control program of all
appropriate and available facilities and resources within
the Federal Government. (42 UHC 7402(b))
2. Research, investigation, training, and other activities
The Administrator shall establish a national research
and development program for tho prevention and control of
air pollution and as part of such program shall—
conduct and promote the coordination and
acceleration of research, investigations,
experiments, demonstrations, surveys, and studies
relating to the cause?*, effects, extent,
prevention, and control of air pollution;
encourage, cooperate with, and render technical
services and provide :-:inancial assistance to air
pollution control agencies and other appropriate
public or private agencies, institutions, and
organizations, and individuals in the conduct of
such activities;
conduct investigations and research and make
surveys concerning any specific problem of air
pollution in cooperation with any air pollution
control agency...
2.IV-23
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SEPT. 1988
conduct and promote coordination and acceleration
of training for individuals relating to the
causes, effects, extent, prevention, and control
of air pollution. (42 USC 7403
2.IV-24
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SEPT. 1988
In carrying out research pursuant to this chapter, the
Administrator shall give speciul emphasis to research on
the short- and long-term effects of air pollutants on
public health and welfare. In the furtherance of such
research, he shall conduct an accelerated research
program. (42 USC 7403 (f)(l»
3. Research related to combustion of fuels
The Administrator shall give special emphasis to
research and develop into new
-------
SEPT. 1988
5. Detail of EPA Personnel
Upon the request of an air pollution control agency,
personnel of the Environmental Protection Agency may be
detailed to such agency for the purpose of carrying out
the provisions of this chapter. (42 USC 760Kb))
Special requirements and limitations:
6. Training
Reasonable fees may be charged for...training provided
to persons other than personnel of air pollution control
agencies but such training shall be provided to such
personnel of air pollution control agencies without
charge. (42 USC 7403(b))
7. Studies by National Academy of Sciences
The Administrator shall undertake to contract with the
National Academy of Sciences to study the state of
knowledge and .the adequacy of research efforts to
understand (A) the effects of all substances, practices,
processes, and activities which may affect the
stratosphere, especially ozone in the stratosphere; (B)
the health and welfare effects of modifications of the
stratosphere, especially ozone in the stratosphere; and
(C) methods of control of such substances, practices,
processes, and activities including alternative costs
feasibility, and timing. The Academy shall make a report
of its findings by January 1, 1978. (42 USC 7453(d) (1))
The Administrator shall undertake to enter into
appropriate arrangements with the National Academy of
Sciences to conduct a comprehensive study and
investigation of the technological feasibility of meeting
the emissions standards required to be prescribed by the
Administrator by subsection (b) of this section. Of the
funds authorized to be appropriated to the Administrator
by this chapter, such amounts as are required shall be
available to carry out the study and investigation
authorized by paragraph (1) of this subsection.
(42 USC 7521(c) U)(2))
2.IV-26
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SEPT. 1988
I• Superfund Programs: Comprehensive Environmental
Response, Compensation, and. Liability Act of 1980
(CERCLA), as amended
General and specific program authority:
1. Response authorities
Whenever (A) any hazardous substance is released or
there is a substantial threat of such a release into the
environment, or (B) there is a release or substantial
threat of release into the environment of any po,llutant or
co'ntaminant which may present an imminent and substantial
danger to the public health or welfare, the President is
authorized to act, consistent with the national
contingency plan, to remove or arrange for the removal of,
and provide for remedial action relating to such hazardous
substance, pollutant, or contaminant... (42 USC 9604(a)(l)
Whenever the President is authorized to act pursuant
to subsection (a) of this section, or whenever the
President has reason to believe that a release has
occurred or is about to occur, or that illness, disease,
or complaints thereof may be attributable to exposure to a
hazardous substance, pollutant, or contaminant and that a
release may have occurred or be occurring, he may
undertake such investigations, monitoring, surveys,
testing, and other information gathering as he may deem
necessary or appropriate...In addition, the President may
undertake such planning, legal, fiscal, economic,
engineering, architectural, and other studies or
investigations as he may deem necessary or appropriate to
plan and direct response action, to recover the costs
thereof, and to enforce the provisions of this chapter.
(42 USC 9604(b)(D)
2. Coordination of investigations
The President shall promptly notify the appropriate
Federal and State natural resource trustees of potential
damages to natural resources resulting from releases under
investigation pursuant to this section and shall seek to
coordinate the assessments, investigations, and planning
under this section with such Federal and State trustees.
(42 USC 9604
2.IV-27
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SEPT. 1988
4. Technical and legal assistance
Where a State or a political subdivision thereof is
acting in behalf of the President, the President is
authorized'to provide technical and legal assistance in
the administration and enforcement of any contract of
subcontract in connection with response actions...
(42 USC 9604(d) (3))
5. Agency for Toxic Substances and Disease Registry
(ATSDR)
The Administrator of [the ATSDR] shall, with
cooperation of the Administrator of the Environmental
Protection Agency...effectuate and implement the health
related authorities of this chapter... (42 USC 9604(i))
6. Employee Health and Safety Program
[A] program to protect the health and safety of
employees involved in response to hazardous substance
releases...shall be developed jointly by the Environmental
Protection Agency, the Occupational Safety and Health
Administration, and the National Institute for
Occupational Safety and Health and shall include, but not
be limited to, measures for identifying and assessing
hazards-to which persons engaged in removal, remedy, or
other response to hazardous substances may be exposed,
methods to protect workers from such hazards, and
necessary regulatory and enforcement measures to assure
adequate protection of such employees. (42 USC 9611(c)(6»
7. Commencement of remedial action interagency agreements
[T]he head of the department, agency, or
instrumentality concerned shall enter into an interagency
agreement with the Administrator for the expeditious
completion by such department, agency, or instrumentality
of all necessary remedial action at [any facility on the
National Priorities List]. (42 USC 9620(e)(2))
8. Indian tribes
'Should.the President determine that proper remedial
action is the permanent relocation of tribal members away
from a contaminated site because it is cost effective and
necessary to protect their health and welfare, such
finding must be concurred in by the affected tribal
government before relocation shall occur. The President,
in cooperation with the Secretary of the Interior, shall
also assure that all benefits of the relocation program
are provided to the affected tribe and that alternative
2.IV-28
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SEPT. 1988
land of equivalent value is available and satisfactory to
the tribe. (42 USC 9626(b))
9. Research, development, and demonstration v
The Secretary of Health and Human Services, in
consultation with the Administrator, shall establish and
support a basic research and training program (through
grants, cooperative agreements, and contracts)...
(42 USC 9660(a))
The Administrator may conduct and support, through
grants, cooperative agreements', and contracts, research
with respect to the detection, assessment, and evaluation
of the effects on and risks to human health of hazardous
substances and detection of hazardous substances in the
environment. The Administrator shall coordinate such
research with the Secretary of Health and Human Services,
acting through the advisory council established under this
section, in order to avoid duplication of effort.
(42 USC 9660(c)).
10. Hanford Site Research
The Administrator and the Secretary of Energy are
authorized to enter into intera.gency agreements with one
another for the purpose of providing for research,
evaluation, testing, developmer-.t, and demonstration into
alternative or innovative techr-.ologies to characterize and
assess the nature and extent of hazardous waste (including
radioactive mixed waste) contamination at the Hanford
site, in the State of Washington. (Superfund Amendments
and Reauthorization Act of 1986, Pub. L. 99-499,
Sec. 118(o)(4))
Special requirements and limitc.tions:
11. Response authorities
The President shall not provide any remedial actions
pursuant to this section unless: the State in which the
release occurs first enters into a contract or cooperative
agreement with the President providing assurances deemed
adequate by the President that (A) the State will assure
all future' maintenance of the removal and remedial actions
provided for the expected life of such actions as
determined by the President; (10 the State will assure the
availability of a hazardous waste disposal facility
acceptable to the President and in compliance with the
requirements of subtitle C of the Solid Waste Disposal Act
for any necessary off-site storage, destruction,
treatment, or secure disposition of the hazardous
substances; and (C) the State will pay or assure payment
2.IV-29
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SEPT. 1988
of (i) 10 per centum of the costs of the remedial action,
including all future maintenance, or (ii) at least 50 per
centum of such greater amount as the President may
determine appropriate, taking into amount the degree of
responsibility of the State or political subdivision, of
any sums expended in response to a release at a facility
that was owned at the time of any disposal of hazardous
substances therein by the State or a political subdivision
thereof... (42 USC 9604 (c) (3))
2.IV-30
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SEPT. 1988
I. DELEGATIONS OF AUTHORITY
This section describes whic'a decision officials have
the authority for approving interagency agreements (lAGs)
and Memoranda of Understanding (MOUs), the office or
division in which these officials reside {by program
office and title), and other relevant comments concerning
this authority. This information is located on the
following pages in the "Listing of IAG Decision
Officials." For MOUs, decision officials are also
authorized to execute these agreements and thus to serve
as' action officials. The Office of Federal Activities has
chosen to retain policy review .and concurrence for all
Headquarters MOUs (See Chapter i, Sections II and III).
As indicated in the "Excerpt from the Delegations
Manual" at the end of this section, Regional
Administrators have the authority to execute regional
lAGs. In some cases, however, the authority to execute an
IAG in the regions has been redelegated from the Regional
Administrator to the divisional level. These
redelegations are presented on page 3.1-9.
In order to ensure that the IAG is legally binding,
i.e. authorized by the appropriate decision and action
officials, the information in this section is extremely
important and should be kept current. Please keep GAD,
GIAB informed of any changes in these delegations,in your
program or administrative element of the agency. Further
information concerning approval authority for lAGs may be
obtained from the GIAB at FTS 475-8270.
3.1-1
-------
SEPT. 1988
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SEPT. 1988
ATTACHMENT 3-A
EXCERPT FROM THE E'ELEGATIONS MANUAL
(1200 TN 103, 7/25/84)
GENERAL, ADMINISTRATIVE AND MISCELLANEOUS
1-11. Interaqemcy Agreements
1. AUTHORITY. To enter into (execute) agreements between
EPA and other Federal agencies or State or local
governments which:
a. Provide for the furnishing of goods or services in
exchange for the payment of an agreed amount of funds, or
b. Set forth basic policies and procedures governing
their relationships on matters of mutual interest and
responsibility, under which no exchange of funds occurs.
2. TO WHOM DELEGATED.
a. Assistant Administrator for Administration and
Resources Management;
b. Assistant Administrato;: for Solid Waste and
Emergency Responses; and
c. Regional Administrator;;.
3. LIMITATIONS.
a. The authority delegated to the Assistant
Administrator for administration and Resource Management
is limited to agreements which originate in Headquarters
or in Headquarters' components.
b. The authority delegated to the Assistant
Administrator for Solid Waste and Emergency Response is
limited to actions under Supenfund programs when an
emergency requries immediate action and other agency may
not initiate activities without written authorization.
c. The authority delegated to Regional Administrators
is limited to agreements which originate in Regional
Offices or Regional Office components.
4. REDELEGATION AUTHORITY.
a. The authority of the Assistant Administrator for
Administration and Resources Management is redelegated:
3.I--10
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SEPT. 1988
ATTACHMENT 3-A (cont.)
*(1) Through the Director, Office of
Administration to the Director, Grants Administration
Division for agreements under l.a.; and
(2) Through the Assistant Administrator for
External Affairs to the Director, Office of Federal
Activities for agreements under i.b.
b, . The authorities redelegated in 4..a above, and
those delegated to the Assistant Administrator for Solid
Waste and Emergency Response may be redelegated.
c. The authorities delegated to Regional
Administrators may be redelegated to the Division Director
level.
5. ADDITIONAL REFERENCES.
a. Statutory authority for EPA to enter into
Interagency Agreements is contained in the Economy Act of
1932, as amended (31 U.S.C. 1535); the Intergovernmental
Cooperation Act of 1968, as amended (31 U.S.C. 6501); and
in the "cooperation" provisions of EPA program statutes.
b. As used in this delegation, the term "Interagency
Agreements" includes agreements between EPA and other
Federal Agencies (Interagency Agreements) and between EPA
and State and local governments (Intergovernmental
Agreements).
c. These authorities shall be exercised in accordance
with the policies and procedures set forth in the Grants
Administrative Manual, part 34.
d. The Inspector General Act of 1978, Public Law No.
95-452, as amended, 5 U.S.C. app.. (1982), vests the
Inspector General with similar authority to enter into
agreements with other public agencies.
As of September 5, 1984, Director of the Grants
Administration Division has redelegated authority to
execute lAGs to the Chief, Grants Information and
Analysis Branch, GAD.
3.1-11
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SEPT. 1988
II. FUNDS CONTROL, PAYMENT PROCEDURES,
AND FINANCIAL MANAGEMENT
The administration and management of Interagency
Agreements (lAGs) tie directly to two other management
control systems - funds control, and accounting/payment
control through-the Financial Management System (FMS).
The amount of interaction among these management control
systems often depends on the statutory authority that
forms the legal basis for the agreement. The procedures
associated with these control systems depend upon whether
the action originates with EPA or with another agency and
the type of IAG. The agency financial management
procedures may be deferred only in proven cases of
emergency requiring Superfund response (see Chapter 1 for
emergency procedures). The procedures must then be
complied with after the fact.
A primary financial management concern is to ensure
that sufficient funds are available before a commitment is
made and that the funds are committed and obligated from
the correct appropriation. This means, for example, that
an IAG with research as its primary activity cannot be
funded with Salary and Expense (S&E) -appropriation funds,
but must be funded with research funds.
A. Funds Control
The Office of the Comptroller in Headquarters is the
focal point of this control. The controls depend on the
type of IAG as well as on Economy Act provisions.
1. Disbursement lAGs
When funding an IAG, the Project Officer must first
determine the correct appropriation to fund the agreement,
then identify any restrictions imposed by the chosen
appropriation. For example, obligations cannot be made
beyond the one year life of S&E appropriations for an IAG
that has severable service as its objective, for example,
an IAG providing payroll service.
If the proposed project has a product/good (i.e.,
bonafide need) as its objective (e.g., research report)
and is funded through a non-Superfund two-year FY 1987-88
research appropriation, an IAG signed in FY 1987 will
obligate FY 1987-88 funds. In contrast, the "no year"
money of the Hazardous Substance Superfund is not bound by
the same restrictions as annual appropriations. The
agreement originating office must be aware of the OMB and
3.II-1
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SEPT. 1988
EPA administrative procedures governing the use of this
money, however. It is also important to remember that
appropriation limitations on specific funds continue to
apply even after the transfer of the money to another
agency.
It is also the responsibility of the Project Officer
to consult with his/her commitment clerk and budget
officer at the onset of negotiations on whether sufficient
funds for the intended activity are available. If
sufficient funds are not available in the appropriate
category, e.g., research money, the originating office
must request reprogramming of other funds by the Budget
Division, Office of the Comptroller. (For further
details, see the Resources Management Directives System
2520 on funds control.)
To ensure proper controls, to facilitate tracking of
funds, and to allow for availability of accounting
information, fiscal information must be entered by the
originating office in Item 21 on the Interagency
Agreement/Amendment form (EPA Form 1610-1), including the
program element number, appropriation number, account
number, document control number, and object class. A list
of the object classes for lAGs is located in Attachment A
following this section.
When the negotiation of an IAG is completed, the
originating office either enters the commitment into FMS
via FIRST-UP or the Automatic Data Control Register (ADCR)
electronic systems or forwards a copy of the commitment to
the Cincinnati Financial Management Center (CFMC) for
entry of the commitment into FMS. This action reserves
the necessary funds for the anticipated obligation that is
effective upon the signing of the IAG by both the EPA
Action Official and his/her counterpart in the other
agency.
When the agreement is executed by both parties, a copy
is sent to CFMC by the GAD/RAAU for entry into FMS as an
obligation. The commitment is now an obligation, and the
monies obligated for the purpose outlined in the IAG
cannot be used for any other purpose unless formally
deobligated. Once the funds are officially obligated, the
CFMC is responsible for managing the resultant financial
transactions. From this point on, CFMC is primarily
concerned with processing vouchers, making payments,
accounting, auditing and other financial controls. CFMC
also enters accounting data, such as payments, into FMS.
2. Reimbursement lAGs
The procedures for reimbursement lAGs differ from
those described above in several respects. The same
3.II-2
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SEPT. 1988
regulations governing the use of the appropriate funds
apply. In addition, however, the Project Officer is
responsible for ensuring that the required reimbursable
authority has1 been established, This is extremely
critical in the last quarter of. the fiscal year, and with
agreements in excess of $100,000. Reimbursable authority
is provided by the Budget Division, Office of the
Comptroller issuing a reimbursable advice of allowance.
This advice of allowance informs the Program Office that
the EPA reimbursable authority may be cited as the basis
for incurring EPA obligations before the other agency
reimburses EPA.
Throughout the project period, the Project Officer
uses Form 2550-8 (Report of Reimbursable Services
Rendered) to .provide CFMC with information on the delivery
of goods and services by EPA so that CFMC may bill the
receiving agency and record such costs for each bill as an
accounts receivable in the FMS.
3. Allocation Transfers
This type of IAG involves --:he transfer of obligational
authority and spending from the requesting agency to the
performing agency. This procedure requires specific
approval from the Budget Division, Office of the
Comptroller so that the funds will be reporgrammed to the
EPA Operating Plan's Allocation Transfer Reserve. The
appropriate program's allowance is reduced and the funds
are transferred to the Agency's Allocation Transfer'
Reserve. To facilitate the monitoring of funds, the
performing agency is requested to submit periodic reports
and outlay projections to the agency from which the
appropriated funds were transferred.
B. Payment Procedures
The second area of action centers on proper billing
and accounting procedures, which are controlled by the
CFMC. Since billing and crediting of funds occurs at
CFMC, there are a "number of controls in place to ensure
that obligations and costs comply with regulations, and -
that funds, property, and other assets are safeguarded
against waste, loss, unauthorized use, or
misappropriation. Proper recording and accounting of
revenues and expenditures to permit preparation of
.reliable financial and statistical reports are also an
objective of these controls. A list of these controls for
Reimbursement and Disbursement lAGs is included in Chapter
VI of the Financial Management Procedures for Processing
Superfund Interagency Agreements. Although
Superfund-specific, the same controls are applied to all
EPA lAGs.
3.11-3
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SEPT. 1988
In the. case of a reimbursement IAG, payments are made
by the other agency to CFMC. For a disbursement IAG,
payments are made to other agencies from CFMC.
(Allocation transfers provide funds at the appropriation
level, i.e., no payment or repayment takes place.) There
are two payment methods for reimbursement and disbursement
lAGs:
Repayment - EPA and a number of other agencies
receive reimbursable authority from OMB and do
not require advances to perform work under an
agreement: One agency performs the work
specified in the agreement and on a periodic
basis submits a request for payment to the other
agency for costs incurred. The request is
reviewed for conformance with the agreement and
other applicable requirements. If the request is
in order, payment is made.
Advance Payment - For an agency that does not
have OMB approved reimbursable authority and pays
the cost of the agreement's activity out of a
special working fund account: The performing
agency is paid prior to performing the agreement
activities. The agency receiving the advance
submits reports periodically to the other agency
on the status of costs incurred under the IAG.
These reports are used as a basis to liquidate
the advances.
There are four ways in which EPA accomplishes exchange of
funds for lAGs: (1) the Simplified Interagency Billings
and Collection system (SIBAC), (2) the On-line Payment and
Collections system (OPAC), (3) check payments when CFMC
receives an SF1080 form from a Department of Defense (DOD)
related agency, and (4) funds transfers through Treasury
when CFMC receives an SF1081 form from a non-DOD agency.
When the automated SIBAC system is used, project costs
are sent to the Treasury Department through SIBAC by the
performing agency, which results in an immediate transfer
of funds to that agency upon receipt of the billing
information. When the automated OPAC system is used, the
performing agency enters cost information into this
on-line system, and funds are credited to that agency.
Although the funds exchange occurs prior to Project
Officer certification when one of the two automated
systems is used, adjustments can be made (when requested
by the Project Officer) using an SF238 (SIBAC Adjustment
Voucher for Charge-Backs) for a SIBAC adjustment or
through on-line data entry by CFMC for an OPAC adjustment.
3.II-4
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SEPT. 1988
CFMC makes payments by check to DOD agencies through
use of an SF1080 (Voucher for transfers Between
Appropriations and/or Funds). CFMC transfers funds
between EPA and another non-DOI) agency when both agencies
are serviced by a Treasury Disbursing Center. These
transfers are.done through use of an SF1081 (Voucher and
Schedule of Withdrawals and Credits). These vouchers must
be approved by the EPA Project Officer before payment can
occur. The RAAU has the option to review and approve the
vouchers. CFMC enters the payr-ients into FMS following
those approvals.
Payment procedures differ depending on the type of
IAG. The following paragraphs summarize the payment
processes by type of IAG.
1. Disbursement lAGs
After recording the receipi: of a voucher from the
performing agency, the voucher examiner at CFMC checks the
voucher to ensure that obligations are current, the period
of performance has not been exceeded, and that funds are
available to cover the request, Following this
examination, CFMC forwards a duplicate of the voucher,
along with the IAG Status Notification Form 2550-19, to
the Project Officer for review and approval. If the OPAC
or SIBAC system is being used :-:or executing payment, the
Project Officer must check to make sure that the payments
were accurate. If the Project Officer objects to any part
of the voucher, he/she must propare a memorandum setting
forth the reasons for his/her objections, and indicate the
amount (if any) recommended fox: payment. This memo, along
with a copy of the voucher, is then submitted to the CFMC
for appropriate action. Copies must be sent to GAD/RAAU.
If the Project Officer takes no exception to the
submitted voucher, he/she approves it by signing the IAG
Status Notification and returms it to the voucher
examiner. All vouchers are paLd within 30 days of receipt
from the other agency, unless a disallowance is
recommended by the Project Officer. In this case, the
voucher examiner prepares a Notice of Administrative
Exception (EPA Form 2500-1) so that agreement with the
other agency can be reached and payment made. A copy of
this notice is sent to the billing agency, while the
approved portion of the voucher is processed for payment.
If serious doubts about the other agency's billing and
costs persist, the Project Officer, through GAD/RAAU, may
ask the EPA Inspector General to request an audit of the
other agency's compliance with the terms and conditions of
the agreement.
3.II-S
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SEPT.
2. Reimbursement lAGs
For a reimbursement IAG, the Project Officer is
responsible for submitting EPA Form 2550-8, "Report of
Reimbursable Services Rendered" to CFMC. An updated
2550-8 form should be submitted at least quarterly, or as
specified in the agreement. The Project Officer is also
responsible for assisting CMFC in reconciliation of any
differences between the amount reported on EPA Form 2550-8
and the amount received from the other agency. CFMC
records payments received in FMS. If requested by the
other agency, the Project Officer may, through GAD/RAAU,
ask the EPA Inspector General to audit EPA's compliance
with the terms and conditions of the agreement.
3. Allocation Transfers
Implementation of an allocation transfer must be in
accordance with OMB and Department of Treasury
procedures. This IAG mechanism can only be used with
prior approval from the Budget Division Office of the
Comptroller. In the case of Allocation Transfers-Out,
upon receipt of outlay projections estimating the expenses
associated with the project from the performing agency,
the Budget Division prepares a memorandum requesting the
transfer of required funds from EPA to the other agency.
The Budget Officer signs this memorandum to authorize the
transfer and sends it to the Financial Reports and
Analysis Branch, which executes the transfer to the
performing agency via an SF1151, "Non-Expenditure Transfer
Authorization". FMD provides Treasury with a quarterly
report of all activity under allocation transfer lAGs for
the reporting period.
C. Financial Management (Closeout)
The closeout of lAGs calls for the completion of three
separate, but related, sets of activities. These
activities take, place at CFMC, the originating office, and
the Grants Administration Division (GAD)/Regional
Assistance Administration Unit (RAAU).
GAD is responsible for ensuring that the closeout of
all Headquarters lAGs is handled uniformly throughout the
agency, in a timely manner, and in accordance with
established policy. In each region, the RAAU has the same
responsibility for regional lAGs.
Within thirty days of the termination date of the
project, GAD/RAAU will advise the Project Officer that the
IAG is scheduled to be closed out. Unless there are
compelling reasons to delay the closeout process, the
Project Officer will be asked to submit a written
3.II-6
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SEPT. 1988
statement to GAD/RAAU, certifying, for a reimbursement
IAG, that all charges have been made and all payments
received, and the project is complete. For a disbursement
IAG, the written statement should certify that project
activity is complete and there are no outstanding
invoices.
The GAD/RAAU will also request the CFMC to determine
the financial status of the agreement. (For allocation
transfers-out, the GAD/RAAU asks the EPA Inspector General
to request the other agency's Inspector General to
determine the financial status.)
The GAD/RAAU then closes out the official file, has
the Grants Information and Control System (GIGS) data
entry clerk update the computer record of the IAG, and
sends a copy of the closeout letter to the other agency, -
the Project Officer, and CFMC. Upon receipt of the
closeout letter and expiration of the reply period, CFMC
will "zero out" the agreement in its system by
deobligating the remaining funds;.
Another way that closeout may be accomplished is in
accordance with the Comptroller's Policy Announcement on
the review of unliquidated obligations. The Financial
Management Officer prepares and then submits a listing of
unliquidated obligations to the appropriate Allowance
Holder (AH). The AH reviews the listings to identify the
obligations which are invalid arid/or not viable and those
that will remain valid. For lAG/s, the AH must submit a
written report to the Responsible Planning and
Implementation Officer (RPIO) including determinations of
valid and invalid obligations. (Note: The RPIOs are
Regional Administrators, Assistant Administrators, and
Deputy Administrators responsible for developing and
implementing operating plans, controlling resources, and
reviewing program budgets.) The: RPIO must then send a
notice to GAD and CFMC requesting closeout of invalid or
not viable items. Upon receipt of a written notice from
GAD, CFMC shall record a deoblication.
CFMC may leave an IAG account open past the official
termination date, and may even have to make/receive
payments past this date, if the work invoiced was
performed prior to the termination date in the agreement.'
Additional information concerning funds control,
payment procedures, and financial management may be
obtained from the Fiscal Policies and Procedures Branch,
FTS 382-5113, or the Budget Formulation and Control
Branch, FTS 382-4176.
3.II-7
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SEPT. 1988
ATTACHMENT 3-B
IAG Object Classifications
25.71 - Research Interagency Agreements - agreements
involving systematic study directed toward
.scientific knowledge or understanding of the
subject studied. This includes research, and the
systematic use of knowledge gained from research,
directed toward the production of useful
materials, devices, systems, or methods,
including design and development of prototypes
and processes. Research may include either basic
or applied research. Development also includes,
but is not limited to: quality-assurance
services, analysis and testing of samples,
monitoring activities that aid in the development
of new and improved sampling and analytical
methods review of research documents, evaluation
of technical output, preparation of manuals and
handbooks, and conduct of seminars and workshops.
25.72 - Demonstration Interagency Agreements - agreements
for the principal purpose of supporting projects
which test and provide new or improved techniques
or technology (i.e., pilot projects).
25.73 - ADP and Information Support Interagency
Agreements - agreements for the principal
purpose of providing ADP software, computer
system time, systems design and programming
services, repair and maintenance of data
processing equipment, ADP/telecommunications
services, data access, ADP studies, advice on ADP
acquisition, ADP hardware, and ADP library and
consulting services.
25.74 - Administration Management Services Interaqency
Agreements - agreement:; providing for a variety
of management services. These include travel,
space rental, lease agreements, communications,
utilities, printing and reproduction, equipment,
personnel training, organization and management
studies or manual preparations, manpower
utilization studies and related services. (Does
not include agreements or orders specifically
written for Standard Lovel Use Charges, O.C.
23.10; FTS, O.C. 23.14; Printing and
Reproduction, O.C. 24.01; 0PM Training, O.C.
25.45).
3.II--8
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SEPT. 1988
ATTACHMENT 3-B (cont.)
25.75 - Policy and Regulatory Standards Development
Interagency Agreements - agreements for the
principal purpose of developing, reviewing and
evaluating proposed or existing standards,
regulations or guidelines.
25.76 - Site Supervision and Development Interaqency
Agreements. - agreements for the purpose of
construction monitoring, investigating, studying
and cleaning up hazardous waste sites or
emergency response on oil spills or other similar
situations.
25.77 - Survey and Monitoring Interagency Agreements -
agreements for the principal purpose of
information collection support for land, air or
water quality evaluation.
25.78 - Emergency Services to Others Interaqency
Agreements - agreements for the principal purpose
of providing emergency assistance to individuals,
such as the relocation of persons or their
possessions because of hazardous situations.
25.79 - Other Miscellaneous Interaqency Agreements -
agreements for any service not covered in object
class codes 25.71 through 25.78.
Exclusions:
(a) O.C. 11.81 - agreements for payments to
other agencies for services of civilian and
military personnel on reimbursable detail
(b) O.C. 25.37, O.C: 25.44, O.C. 25.46, and
O.C. 25.47 - agreements for providing
contractual services in connection with
operation of health facilities.
3.I1-9
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SEPT. 1988
III. AUDITS
The Office of Inspector General (OIG), Audit Division,
considers lAGs in the same vein as grants or contracts -
that is to say, as instruments by the use of which the
agency can obtain goods or services. They should be
planned for, managed, and controlled in the same manner as
any other agreement. Project Officers have the
responsibility to monitor performance to assure compliance
with the terms and intent of the agreement, just as they
would in case of a grant or contract.
\
The EPA OIG conducts periodic internal audits of EPA's
management of lAGs as part of its overall responsibility.
There exists no requirement in either EPA's own guidelines
or the Federal government in general, singling out lAGs
for special auditing attention.
The OIG is the proper element of this agency to
formally request the cognizant OIG of the other agency or
department to audit charges made to the EPA. In order for
disbursement to be made, any cost charged to an IAG must
be adequately supported and documented in the books of
account of the agency or department providing the service.
Any questions concerning audits may be directed to the
Program Assistance Unit, Office of the Inspector General,
FTS 475-7778.
3.II1-1
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SEPT. 1988
IV. QUALITY ASSURANCE
Quality Assurance (QA) is i:he process of management
review and oversight at the planning, implementation, and
completion stages of an environmental data collection
activity, to assure that the data provided by a line
operation to data users are of the quality needed and
claimed. Quality assurance should not be confused with
quality control
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SEPT. 1988
a formal document which describes the organization's
overall quality assurance policies and procedures,
roles and responsibilities, and organizational
structures. The Project Officer (of the EPA Program
Office), with the concurrence of the Quality Assurance
Officer, will determine whether a QA Program Plan is
required at the time of the agreement's submission.
All QA Program Plans must be approved by the Quality
Assurance Officer. If an applicable, approved QA
Program Plan(s) covering the project mentioned in the
IAG already exists, the plan need only be referenced
in the submission.
The QA Program Plan, once accepted and approved
by EPA, can be changed only with the explicit
approval of the EPA Project Officer.
For each proposed IAG, the Project Officer must
specifically address the QA requirements listed
above either in the Decision Memorandum, in the
agreement itself, or in a separate QA form. In
the absence of a QA form, or specific language in
the Decision Memorandum or in the body of the
agreement form, the IAG Specialist must contact
the Project Officer to determine why the QA
requirement was not included. The IAG Specialist
will not complete action on the proposed IAG.
without an indication that QA requirements have
been addressed.
Any questions concerning Quality Assurance related to
Interagency Agreements may be directed to the Quality
Assurance and Management Staff, Office of Research and
Development at FTS 382-5763.
3.IV-2
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SEPT. 1988
V. SUSPENSION AND DEBARMENT
Because interagency agreements are not assistance or
procurement, the usual rules that govern assistance or
procurement relationships do not always apply in the
origination of an TAG. However, these rules may apply to
the sub agreements that may resxilt from such an agreement.
For this reason, it is important that the IAG managing .
official be sensitive to assistance and procurement issues
that may have, relevance to lAGs;.
One such area of sensitivity concerns suspension and
debarment (S/D). The terms suspension and debarment refer
to the status of an individual,, firm, or organization
which has been declared ineligible to participate in a
federally funded activity.
The Federal government has two systems of debarment
and suspension that the negotiating official must be aware
of: one is for procurement and is government-wide, the
other is for assistance and is agency-specific. GSA lists
those that are debarred from dilrect federal procurement on
its Consolidated List of Debarired, Suspended, or
Ineligible Contractors. Agencies may not award a contract
or approve an award of a subcontract to anyone whose name
appears on the GSA Consolidated List.
In the area of Federal assistance programs, suspension
and debarment are not yet fully integrated. EPA
regulations require EPA to maintain a Master Listof
Debarred, Suspended, and Voluntarily Excluded Persons.
This list applies to all tiers of EPA assistance. Thus
persons whose name(s) appear on the Master List may not be
awarded a grant or cooperative agreement, or any
subagreement thereunder, nor may they participate in
them. (Note: Notice of Proposed Rulemaking was published
in the Federal Register in October, 1987 that would revise
EPA's regulation governing suspension and debarment under
its assistance programs to make them government-wide,
similar to procurement, as opposed to the current agency
specific situation.)
Skillful use of these two systems can provide a high
degree of protection for EPA financial commitments.
Whenever EPA provides financial resources to
accomplish, or to help accomplish, a Federal objective,
the Agency demands that its funds be managed responsibly.
Therefore, it is important tha--: all IAG negotiating
officials be alert to the fact that EPA funds
provided/transferred through an IAG may not be
automatically protected by the existing rules governing
debarment and suspension.
3.V-1
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SEPT. 1988
Only in the case of direct federal procurement do the
government-wide debarment/suspension rules automatically
apply. In the case of assistance, special care is
needed. If, for example, the recipient agency enters into
an assistance agreement to accomplish its objectives, only
the recipient agency's assistance regulations will be
available to protect EPA funds. If the agency has no
debarment/suspension system in place, or if it is
inadequate, 40 CFR Part 32, that explicitly excludes lAGs
from its application, cannot prevent certain persons or
organizations from participating in the EPA funded
activity.
This situation may actually not be always to the
disadvantage of the EPA negotiating official. It leaves
him/her with a valuable measure of flexibility in the
crafting of the agreement. The Project Officer can always
make use of the "special conditions" segment of the Form
1610-1 to specify conditions that will prevail in case the
assistance agreements become part of the overall effort.
The "special conditions" segment might be used to bind the
other agency to make no awards to a person or organization
on the performing agency's own debarment/suspension list,
or the EPA list, or on a roster drawn from both lists.
There are several points in this area that a Project
Officer should consider while negotiating an IAG:
How large is the EPA's financial stake in the
project?
Is the performing agency planning to make use of
procurement or assistance to accomplish its
objectives?
If the; performing agency will use assistance,
does the other agency have an adequate
debarment/suspension program in place?
If the performing agency does not have an
adequate debarment/suspension program for
assistance, should the Project Officer insist on
the use of the EPA list, or possibly a
combination of lists?
An accurate assessment of EPA's interest in the project
will assist the Project Officer to better negotiate a
special condition regarding suspension and debarment if
this becomes necessary. Any Project Officer's checklist
should contain S/D as a reminder of this potentially
vulnerable area. -Questions concerning suspension and
debarment may be answered by GIAB, FTS 475-8270, or the
Compliance Staff, FTS 475-8025.
3.V-2
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SEPT. 1988
VI. PATENT AND DATA RIGHTS
A. Patent Rights
/
1. General Background Discussion
On December 12, 1980, the Congress passed Public Law
96-517 (35 USC Gh. 18) "The Patent & Trademark Amendments
Act of 1980". With the passage of this law, the Congress
established a new policy regarding inventions generated by
small business firms and non-profit organizations while
working on government funded research projects. This Act
gives small businesses and non-profit organizations, with
some exceptions, a first right of refusal to title an
invention generated during perEormance of government
grants and contracts. Under t-iis Act, the U.S. Office of
Management and Budget, Office of Federal Procurement
Policy, was authorized to implement the law and provide
regulatory guidance. Consequently, in February 1982, OMB
issued Circular No. A-124 which set forth "policies,
procedures, and guidelines with respect to inventions made
by small business firms and non-profit organizations,
including universities, under funding agreements with
Federal agencies where a purpose is .to perform
experimental, developmental, o;: research work." In
addition, on February 18, 1983, President Reagan issued a
memorandum to the heads of all executive departments and
agencies directing that, to th«» extent permitted by law,
all federally funded research and development contracts,
grants, or cooperative agreements will be subject to the
same general provisions of 35 USC S 200-206 (PL 96-517).
In a subsequent statement issued by the White House Press
Office, the President stated:
"Inventions developed with Government
support constitute a valuable national
resource. With appropriate incentives,
many of these inventions will be further
developed commercially by the private
sector. The new products and processes
that result will improve the productivity
of the U.S. economy, create new jobs, and
improve the position of the U.S. in world
trade. The policy established by the
Memorandum is designed to provide such
incentives."
2. Issues Concerning Patents eind Funds-Out lAGs
Basically, the issue of patents and interagency
agreements concerns the following questions; (1) What
3.VI-1
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SEPT. 1988
rights (if any) are given up by EPA when another agency
uses EPA funds to fulfill the terms of the IAG agreement?
(2). What are the ramifications of using other agency's
patent clauses on Funds-Out IAG arrangements?
First, if the performing agency providing the products
or services to EPA chooses to impose certain patent
restrictions, Project Officers responsible for negotiating
the IAG should be aware that their options depend on the
particular mechanism being proposed to provide the
services or products named in the IAG. Such options vary
depending on whether the funds will be used in-house, by
the performing agency, or extramurally on a contract,
grant/cooperative agreement. For example, if the money is
used on another agency's contract the Federal Acquisition
Regulations automatically apply and govern the contract.
FAR states that it is the requisitioning or funding
agency's responsibility to provide the patent clause to be
used in the contract as well as to explain any special
circumstances surrounding the contract. The clause
provided should be consistent with current Government
patent guidance. However, an exception is allowed by FAR
for agencies that claim their patent clause is "required
because of statutory requirements, a deviation, or
exceptional circumstances." EPA recommends the standard
FAR short clause be provided to the other agency for use
in EPA funded IAG contracts. If a project officer
negotiating an IAG agreement encounters an agency
requiring the use of certain prescribed patent clause, the
project officer should contact the Agency patent attorney
in the Office of General Counsel for further assistance.
With regard to grants and cooperative agreements in
lAGs, project officers having concerns over the area of
patents should be aware that in addition to general patent
policy each agency has generally been allowed to
supplement guidance with agency policy and procedures of
their own.
If there are any doubts about the acceptability of the
patent requirements as set forth by the other agency in a
grant or cooperative agreement, the project officer should
contact the Agency patent attorney in the Office of
General Counsel.
Secondly, the issue of patent ramifications can be
illustrated by the following hypothetical case in which a
contract will be used to implement the terms of the IAG:
EPA enters a Funds-Out IAG with the Department of
Energy (DOE) for the purpose of water research.
During the contract negotiations DOE insisted
3.VI-2
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SEPT. 1988
that their agency patent clause should apply in
the contract because of special requirements.
The EPA Project Officer consented to its use
without review and stipulated that this patent
clause be incorporated into the contract on
behalf of EPA.
DOE awards the contract to carry out the work.
During the course of the contract a patentable
water treatment process to instantly purify waste
water used in cooling nuclear reactors is
discovered by the contractor.
Instead of allowing the normal first option fuel
to occur, DOE steps in and takes title to the
invention. DOE cites the provision of their
patent clause as justification and states that
according to FAR guidance EPA provided this
clause for use in the contract (27.304).
The portion of the contract which funded the
invention is not severable and therefore the
patent clause as provided by EPA governs the
contract..
Department of Energy refuses to let the
contractor develop or market the process because
they require further studies and have safety
regulations prohibiting the use of specified
materials found in the internal casing of the
invention.
The invention is delayed for five to eight years
from reaching the public for industrial use.
Granted, the preceding example is an extreme case. It
is illustrative, however, of why it is important to
ensure that patent issues la interagency agreements
are addressed properly, and what are the potential
consequences of not doing so.
3. Implementing Patent Rights Policy in lAGs
Because of the many recent shifts in patent policy, it
is important that program offices that negotiate
interagency agreements containing grants, cooperative
agreements, or contracts as pare of the IAG implementation
be aware that 'such national policies governing patents
exist. The following guidelines (in chart form) should be
helpful in identifying the propor authorities, negotiation
issues, and EPA patent clauses :-:or use by persons with
responsibility to negotiate lAGss that have the potential
3.VI--3
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SEPT. 1988
of raising patent rights questions and issues (see
Attachment 3-B on page 3.VI-5).
B. Data Rights
1. General Background Discussion & Authorities
Unlike the issue of patents, data rights has no broad
standard of statutory guidance which applies throughout
the federal government applying to lAGs, grants,
contracts, or cooperative agreements. Traditionally, each
agency has promulgated its own regulations regarding this
subject and EPA is no exception. The current EPA guidance
on data rights consists of the following:
a. Contracts - Data rights are governed by 48 CFR
Chapter 15, Environmental Protection Agency Acquisition
Regulations (EPAAR) subpart 1527.7000. This regulation is
effective from April 1, 1984 - March 31, 1986.
b. Grants & Cooperative Agreements - Data rights are
governed by 40 CFR part; 30.1130. This regulation is also
available in the Federal Register/Volume 48 No.
191/Friday, September 30, 1983 page 45074/30.1130.
c. Interagency Agreements (Funds-Out) - Data Rights
are not currently governed by any Federal regulations.
However, EPA's preferred management practice in this area
requires that EPA Project Officers be cautious of federal
agencies who require data rights clauses to be applied to
lAGs in a uniform manner. Negotiation on a case by case
basis is the prefered approach. Questions on this issue
may be referred to Office of General Counsel, Contracts
and Information Law Branch, HQ, Washington D.C.
2. Issues Concerning Data Rights and Funds-Out lAGs
The issue of data rights and Funds-Out lAGs centers
around the following questions: "How can EPA ensure that
data and information generated through the use of EPA
funds is totally accessible for agency purposes and use?"
Although it is highly unlikely, it is conceivable that EPA
could fund research on special projects (in part or in
whole) where data rights provisions inhibit EPA officials
from receiving the benefits they paid for, namely the data
or reports produced by the project. In order to avoid
this situation Project Officers should be aware of the
general rules governing the subject as listed above, and
the practices of the agency being negotiated with. If
concerns about data rights provisions occur, Project
Officers should contact the Office of General Counsel,
Contracts and Information Law Branch HQ, Washington, D.C.,
FTS 382-5460.
3.VI-4
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SEPT. 1988
ATTACHMENT 3-C
Guidelines for Implementing Patent Rights Policy
Disbursement
Interagency Agreements (lAGs)
Containing;
A. Contracts
B. Grants
C.
D.
Cooperative
Agreements
None of the
above
mechanisms
Governing
Authority
PL96-517, OMB Circ.
A-124, Pres. Memo
2-18-83 & The Fed.
Acquisition Reg.
(48 CFR Part 27)
27-304.2
PL96-517, OMB Cir.
A-124, Pres. Memo
2-18-83, for EPA
40 CFR Part
30.1101-1112, CFR
Part 40.160-3
PL96-517, OMB Circ.
A-124 Pres. Memo
2-18-83 for EPA
30.110-1112, CFR
Part 40.160-3
E.O. 10096/37 CFR
part 100
Points of
Negotiation
Ensure other agency
patent clause does
not apply to con-
tract if such clause
is not desirable
for EPA mission
accomp1i shment
(see guide in FAR
27.304-2). Special
circumstances or
agency requirements.
Application of other
Agency Patent Clauses.
Special circumstances,
needs, or agency
requirements.
"Same as above"
Recommended EPA
Patent Clauses
FAR patent clause
used in EPA con-
tracts unless
special circum-
stances dictate
otherwise
None
OMB A-124 Attach-
ment A, as used
in Grants and
Cooperative
Agreements
OMB A-124
Attachment A, as
used in Grants
and Cooperative
Agreements
None
3.VI-5
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SEPT. 1988
VII. FEDERAL ACQUISITION REGULATION (FAR)
A. General Background
The Federal Acquisition Regulation (FAR) is now the
primary procurement guidance for all executive agencies in
the Federal Government. Upon :-.ts implementation April 1,
1984, FAR established, for the first time/ a single
reference point for policies arid procedures governing the
procurement process of all Fed€>ral executive agencies.
FAR was developed in response to the Office of Federal
Procurement Policy Act of 1974 (PL 93-400), as amended by
PL 96-83. The development and implementation of FAR was a
massive effort of joint coopere.tion between the Department
of Defense (DOD), National Aeronautics and Space
Administration (NASA), General Services Administration
(GSA), and all other Federal executive agencies. Federal
agencies covered by FAR may only promulgate acquisition
regulations that implement FAR policies within the agency
and supplement the policies of FAR only to "satisfy the
specific needs of the Agency." Thus, FAR superseded the
many different volumes of procurement regulations
previously being used by several Federal executive
agencies and bring under one standard all such procurement,
activities. The one exception to this rule deals with ADP
acquisitions (see Section VIII of'this chapter). At the
present, rules relating to ADP acquisition.appear also in
the Federal Information Resources Management Regulations
(FIRMR) (Chapter 201 of Title 41 CFR).
B. FAR Organization and Content
FAR itself is broken down into eight broad category
Subchapters. Within each Subchapter are a number of more
specific-topics called Parts; t-iere are 52 total Parts
throughout FAR, with Part 53 containing all standard
contract clauses required by FAS. With regard to
Interagency Agreements, there is only one specific
reference in the entire FAR. This reference may be found
in Subchapter C - Contracting Mothods & Contract Types,
Part 17 - Special Contracting Methods, Section 17.500 -
Interagency Acquisition under the Economy Act. FAR
guidance in relation to acquisition under the Economy Act
states that the standard order of preference for required
Government sources of supply may be deviated from under
the Economy Act*. Such deviation, however, may only occur
when it is (1) determined by th« agency head or designee
*Note: See Part 8 (Section 8.0011(a)(1) of FAR) for this
preferred order of acquisition.
3.VII-1
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SEPT. 1988
that it is in the Government interest to do so; (2) that
legal authority for the acquisition otherwise exists;
(3) the action does not conflict with any other agency's
authority or responsibility; and (4) if the acquisition
involves the use of a commercial or industrial activity
operated by the servicing agency, a determination shall
include a finding that the acquisition conforms to the
requirements of FAR Subpart 7.3, Contractor versus
Government Performance. In addition, FAR states that
requesting and servicing agencies should agree to
procedures for the resolution of disagreements which may
arise in LAG acquisitions, "including in appropriate
circumstances, the use of a third part form." Requesting
agencies are also responsible for furnishing other
assistance which may be necessary, such as providing
special contract terms or other requirements which limit
the funds of the requesting agency. Finally, FAR
summarizes the appropriate payment procedures allowable
under the Act, stating that advance payment and bills
rendered shall not be subject to audit or certification in
advance of actual payment.
- CITE 17.504(d)(3)
C. lAGs-and Contracts
Although interagency acquisition under the Economy Act
is the only specific subject addressed in FAR relating
directly to the interagency agreement process, there are
many more sections which have potential bearing on
contracts within interagency agreements. Consequently,
when contracting is used as a method of implementing an
IAG project, program personnel should refer to FAR for
guidance under each topic of concern, and ensure that all
terms of the contract funded through an IAG are acceptable
to both parties. Questions on the policies provided by
FAR or acquisition under IAG authority should be directed
to the GIAB, Grants Administration Division (GAD) HQ,
Washington, DC, or the contracting officer servicing the
program as early in the IAG process as possible. In
addition, general questions on EPA contracting policies
and FAR.may be directed to the Procurement Contracts
Management Division Policy Staff, HQ, Washington, DC
FTS 382-5034.
D. Contract Issues and Guidance
The following list of FAR citations and subjects has
been developed as a quick reference guide. This list may
be used to identify potential areas of responsibility and
interest in IAG contracts. Further information on the FAR
is available from the Procurement Policy and Quality
Assurance Branch, the Procurements and Contracts J
Management Division at FTS 382-5028.
3.VII-2
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SEPT. 1988
ATTACHMENT 3-D
FAR Subjects
Part 1 - Federal Acquisition Regulations System
1.1 Purpose, Authority, Issuance
1.2 Administration
1.3 Agency Acquisition Regulations
1.4 Deviations from FAR
1.6 Contracting Authority and Responsibilities
Part 2 - Definitions of Words and Terms
2.1 Definitions
Part 3 - Improper Business Practices and Personal
Conflicts of Interest
3.6 Contracts with Government Employees or Organizations
Owned or Controlled by them
Part 7 - Acquisition Planning
7.3 Contractor vs. Government Performance
7.4 Equipment -Lease or Purchase
Part 9 - Contractor Qualifications
9.4 Debarment, Suspension, and Ineligibility
9.5 Organizational Conflicts of Interest
Part 17 - Special Contracting M«?thods
17.5 Interagency Acquisitions under the Economy Act
Part 25 - Foreign Acquisition
25.1 Buy American Act — Supplies
25.2 Buy American Act — Construction Materials
Part 27 - Patents, Data, and Copyrights
27.3 Contracts Placed By or For Other Government Agencies
Part 32 - Contract Financing
32.1 General
32.4 Advance Payments
32.7 Contract Funding
3.VII--3
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SEPT. 1988
Part 35 - Research and Development Contracting
Pact 37 - Service Contracting
37.1 Service Contracts - General
37.2 Consulting Services
Part 45- Government Property
45.1 General
45.3 Providing Government Property"to Contractors
45.4 Contractor Use and Rental of Government Property
45.-5 Management of Government Property in the Possession
of Contractors
45.6 Reporting, Redistribution, and Disposal of
Contractor Inventory
Part 51 - Use of Government Supply Sources
51.1 Contractor Use of Government Supply Services
3.V1I-4
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SEPT. 1988
VIII. AUTOMATED DATA PROCESSING (ADP) IAGS
Any Funds-In or Funds-Out IAG may have ADP aspects.
Often Federal, State, and local government agencies enter
into Funds-In lAGs with the U.S. Environmental Protection
Agency (EPA) for the use of EPA Timeshare Services.
Funds-Out Interagency Agreements must be prepared on
EPA Form 1610-1, "Interagency Agreement/Amendment—General
Information.". EPA will accept the other party's form for
a Funds-In IAG if it contains all the information required
by-Form 1610-1. The information required to evaluate and
approve an IAG includes:
Project Officer Name, Address and Phone Number
Project Period
Scope of Work
Budget Period
Amount of Funding to be applied
Billing Instructions
Signature of Authorizing Officials
Indemnification Clause
r
Funds-In Timeshare Service ADP lAGs must be renewed each
year as new and independent IAG3.
A recent requirement in the IAG process addresses
Commercially Licensed Software Creference OIRM Policy
Guideline 87-01). The policy guideline establishes the
principles governing the use of Commercially Licensed
Software on EPA's National Computer Center (NCC) IBM 30xx
mainframe. The policy is intended to define the limits of
licensed software usage. An indemnification clause must
now be made part of each ADP IAG (including amendments).
The Indemnification Clause is shown below:
INDEMNIFICATION CLAUSE: Th:ls Clause addresses
Indemnification of the EPA :ln ,the event of
unauthorized use of licensed software by non-EPA
users. It must be completed by the organization
requesting the Interagency Agreement with EPA.
The • (other ]iAG party) agrees to abide
by the terms and conditions of usage of NCC's IBM
computer systems, databases, application program and
licensed software as stated above. Furthermore, the
(other IAG party) understands that it is
the responsibility of (other IAG party) to
develop internal policies and procedures to prevent
any unauthorized use. Any legal action or damages
resulting from the unauthorized use will be the
3.VIII-1
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SEPT. 1988
responsibility of the (other IAG
party). Through this Agreement, the
(other IAG party) shall indemnify and hold
harmless EPA from any damages/awards resulting
from the unauthorized use.
Before forwarding completed ADP lAGs to the Grants
Administration Division (GAD) or'Regional Assistance
Administration Unit (RAAU) for processing, the EPA project
officer must contact the Agency ADP IAG Coordinator in
Research Triangle Park, National Data Processing Division
(Mp-34), to obtain the 10-digit Financial Management
System (FMS) Account Number for each IAG. The IAG package
should include a Decision Memorandum (DM), and it must be
provided to the GAD or RAAU transmitting the IAG package.
The DM describes the type of services requested and its
intended use.
when the project officer receives an executed copy of
the IAG from the GAD or RAAU, he/she must provide the ADP
IAG Coordinator in RTP with one copy of the signed IAG for
registration. One copy of the IAG will be forwarded by
GAD/RAAU to the Cincinnati Financial Management Center,
where billing is generated.
EPA Program Offices and Regions are responsible for
providing the Headquarters Budget Division (Attention:
Budget Formulation and Control Branch) with a signed copy
of each Funds-In ADP IAG. Any questions concerning ADP
lAGs should be directed to the National Data Processing
Division at FTS 629-4313.
3.VIII-2
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SEPT. 1988
IX. SUPERFUND COST RECOVERY
A. Introduction
The Comprehensive Environmental Response, Compensation
and Liability Act of 1980 (CERCLA) established the
Hazardous Substance Response Trust Fund (Superfund) to
provide monies for the identification, prioritization, and
remediation of the nation's uncontrolled hazardous waste
sites. Under the Act, as amended by the Superfund
Amendments and Reauthorization Act of 1986 (SARA), the
Federal Government is authorized to attempt to recover
costs from liable parties for response costs, which
include investigatory, cleanup, enforcement and
administrative costs. EPA management has decided that the
Agency will attempt to recover all such costs.
Under the terms of the individual Superfund
Interagency Agreements, Federal agencies which perform
site-related Superfund work aru reguired to produce
site-specific cost documentation on request, for purposes
of cost recovery. EPA has developed site-specific
recording systems for use with:".n EPA to support its cost
recovery efforts. While EPA does not mandate how other-
Federal agencies should maintain their cost documentation,
it is highly recommended that agencies adopt EPA's system
for their own use.
The remainder of this chapter outlines this
recommended site-specific documentation system, including
guidance for the development of active site files, the
types of documents which should be retained in active site
files, how the files should be ordered, how long the files
should be retained, and procedures for periodic
reconciliation of expense records.
B. Establishing Site Files
Active site filing involves; maintaining a separate set
of files for each site and procedures for copying original
expense records and filing the copies in the site files.
In order to minimize the copyir-.g burden, EPA has
designated certain expense-rele.ted records, primarily
documents that apply to multiple sites, as exempt from
site filing. The exhibits on the following pages list
those documents to which a Federal agency's recordkeeping
staff should have ready access, and summarizes those
records that should be retained in site files,
respectively.
1. Other agencies' recordkeeping systems must be
able to provide EPA's regional offices with
3.IX-1
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SEPT, 1988
Figure 3-3
SUMMARY OF DOCUMENTS SUGGESTED,
BUT NOT REQUIRED IN SITE FILES
AREA OF COST
SUGGESTED DOCUMENTATION
Payroll
Contractor
Services
Supplies and
Equipment
Indirect Costs
Interagency
Agreements
• Position titles of staff
1 Salary of staff (annual or hourly rate)
1 Methodology for dete-.tnining fringe benefit rate
1 Authorization
• Proposal
• Contractor cost data (EPA form 5700-41)
• Cost price analysis of proposal and record of
negotiations
• Proposal evaluations
• Contract
• Work orders and change orders
* Reports on contractor work
• Audits of contractor
' Type(s) of materials Contracts
'Leases
> Purchase orders
1 Receiving reports /
< Explanation of "usage rate" calculation
/
' Rate documentation package
• IAG
• Amendments
3.IX-2
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SEPT. 1988
Figure 3-4
SUMMARY OF DOCUMENTS SUGGESTED TO BE IN SITE FILES
AREA OF COST
Payroll
Travel
Contractor
Services
Supplies and
Equipment
Indirect Costs
SUGGESTED DOCUMENTATION
• Time attendance records
• Time attendance amendments
• Worksheet showing fringe benefit calculations
(if not calculated by accounting system)
• Authorizations (including purpose of trip)
• Vouchers showing:
Starting point and destination
Transportation method
Number and names of persons on trip
• Receipts, (airline, hotel, etc.)
• Proof of payment1
1 Contractor invoices
1 Project officer approval of invoices
• Proof of payment*
1 Invoices j
1 Proof of payment
' Hourly records of equipment use
> Worksheet showing calculations (if not calculated by accounting
system)
Proof of payment must be documented for each expense charged to a site. Generally, a copy of a
payment schedule which includes the check number and the amount or a copy of the Treasury
report listing the payment is sufficient.
3.IX-3
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SEPT. 1988
complete site-specific expense documentation
within deadlines set by each regional office.
2. All site files should be ordered in the same
manner. Records for the various types of costs
should be kept in the same order. Within each
cost category, records should be filed the same
way in each site file. Each Federal Agency will
have its own ordering system; what's important is
that the ordering system be consistent in all site
files.
C. Records to be Retained in Si'.:e Files
This section lists in general terms what types of
documentation should be copied and filed in active site
files.
1. Agency Staff Salaries
'2. Fringe Benefits
3. Travel
4. Contractor Services
5. Materials and Supplies
6. Equipment
7. Indirect Costs
8. IAGs
D. Reconciling Site Files
To ensure that all active si tie files are complete, the
files should be periodically reconciled with reports
produced by the other agency's accounting system. This
procedure will identify needed records not included in the
site files. EPA recommends that active site files be
reconciled to accounting system reports at least twice a
year.
E. Storage Media and Record Safety Procedures
Active site files should be located in areas secure as
possible from fire, water and other damage. Once activity
has ceased at a site, similar prevision must be made for
safe long-term storage of site files. Microfilm copying of
inactive site files is allowed by EPA, provided the
microfilming meets certain technical standards.
F. Record Retent ion Requ i rements
The Federal Agency and its contractor are required to
retain the documents described in this chapter for a
minimum of six years after submission of a final
SF1080/1081 or SF133 for a site. If legal action regarding
the site is initiated within the six year
3.IX-4
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SEPT. 1988
period, records must be retained until the conclusion of
legal action. In addition, written permission must be
obtained from the regional action official prior to the
disposing of any records.
For further information pertaining to lAG-related
Superfund cost recovery and documentation requirements,
refer to the Superfund Financial Management and
Recordkeeping Guidance for FederalAgencies or contact the
Superfund Accounting Branch, FMD at FTS 382-2268.
3.IX-5
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SEPT. 1988
X. SUPERFUND INTERGOVERNMENTAL AGREEMENTS
Remedial Action State Repayment Agreements
(Superfund State Contracts - SSC)
An agreement between EPA and a State is required by
CERCLA/SARA to obtain State assurances (see CERCLA, as
amended, Section 104(c)) befors any Federal-lead remedial
action is undertaken. The SSC must include the following
as appropriate:
The State must agree to share in the cost of the
response actions (10% of the remedial action for
privately operated facilities or 50% of all
response activities for publicly operated
facilities including previous Trust Fund
expenditures for any removal, remedial
investigation/feasibility study (RI/FS), or
remedial design (RD) work). How the State
intends to provide its cost share must be
described in the agreement.
If off-site disposal is part of the remedial
action, the State must agree to provide a
facility for off-site disposal, treatment, or
storage of waste removed from the site. Such
facility must comply with RCRA requirements.
The State must agree to operate and maintain the
remedy for the life of the remedial action. The
Trust Fund may not be used for O&M; this is the
sole responsibility of the State. At the
conclusion of the remedial action, the State must
agree to accept title to all equipment that is
the in-place remedy or part of the remedy. (The
equipment must be used at the relevant site until
it is no longer needed for the remedy. At that
time the State should request disposition
instructions from EPA.)
If an interest in real property was acquired as
part of the remedial action, the State must agree
to assume the interest or take title to said
property at the conclusion of the Federal-lead
remedial action.
3.X-1
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SEPT. 1988
Beginning in October 1989, the State must assure
EPA that it has adequate capacity for all
hazardous waste generated within the State for a
20-year period following the assurance.
These agreements cannot be closed out until all Trust Fund
expenses for remedial action are accounted for, including
change orders and claims. Therefore, a reconciliation
clause is always included in the agreement. Funds
provided by EPA via an IAG to another agency will be
reviewed prior to closeout of the SSC for cost-share
reconciliation.
For further information see the OSWER manual, "State
Participation in the Superfund Program." Questions on
SSCs should be directed to the State and Local
Coordination Branch, Office of Emergency and Remedial
Response at FTS 382-2443.
3.X-2
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SEPT. 1988
XI. DETAILING OF PERSONNEL
Detailing Federal personnel under an IAG for a period
of more .than 30 days must be preceded by the preparation
of a Request for Personnel Action (SF52) and the
preparation and approval of a Notice of Personnel Action
(SF50). All IAG packages (Funds-In or Funds-Out)
concerning personnel details must contain an SF52 and
SF50. The procedures discussed below cover all details of
EPA employees to other Federal organizations, which are
made on a Funds-In (reimbursable) basis.
A. Background
Section 601 of the Economy Act of 1932 (31 USC 1535)
authorizes agencies to enter into written agreements for
the performance of services for which reimbursement is
made. The Comptroller General (CG) determined that the
Economy Act was passed partly to prevent nonreimbursable
details and ensure that appropriations are spent only for
the purposes for which provided. CG Decision B-211373,
dated March 20, 1985, concluded that in the absence of a
specific statute authorizing nonreimbursable details, both
intra-agency and interagency dotails must be made on a
reimbursable basis, except in the limited circumstances
described below.
B. Definitions
1. Reimbursable Detail
A detail in which the receiving organization
reimburses the providing organization for personal
services performed by an individual detailed to that
organization..
2. Nonreimbursable Detail
A detail in which no paymer-.t is made for services
performed by an individual deta.iled to another
organization.
3. Intra-Agency Detail
Detail of employees between different components of a
particular agency.
4. Interagency Detail
Detail of employees to Federal Organizations outside
of the particular Agency in which they are employed.
3.XI-1
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SEPT. 1988
C. When Reimbursable Details are Appropriate
1. Details to other Federal Organizations (interagency)
must be made on a reimbursable basis, unless the
requesting office can justify that the detail meets the
following criteria:
a. The employee will be performing functions that
are EPA-related and his/her services will aid in
accomplishing the purpose for which the EPA appropriation
was established; or
•b. The detail will have a negligible fiscal impact
on EPA's appropriation.
2. When an interagency detail meets the criteria in
paragraph A above, the detail should be processed on a
non-reimbursable basis in accordance with Section 10 of
Personnel Management Memorandum 300-12, dated July 30,
1986. All other interagency details which do not meet the
above criteria must be on a reimbursable basis and the
procedures below must be followed.
D. Processing Funds-In Reimbursable Details
1. Reimbursable details to other Federal Organizations
must be processed in accordance with EPA's Interagency
Agreement procedures. Once a decision has been made that
a detail will be made on a reimbursable basis, the
Servicing Personnel Office must submit the following
information to the Grants Administration Division (GAD)
Grants Information and Analysis Branch (GIAB) before an
Interagency Agreement to detail an individual for more
than 30 days can be approved:
a. Copy of the approved Request for Personnel Action
(SF-52). All requests to detail employees to other
Federal Organizations must be approved by the appropriate
Assistant Administrator, Regional Administrator or
equivalent;
b. Copy of the Completed Notice of Personnel Action
(SF-50);
c. Copy of the Decision Memorandum from the program
office which provides the rationale for detailing the
employee on a reimbursable basis; and
d. Three copies of IAG form already signed by-other
agency.
3.XI-2
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SEPT. 1988
E. Funds-Out Details
A Commitment Notice is required for Funds-Out lAGs.
In such a case, EPA pays the other agency for providing
the employee. See Chapter 1 or 4 for further information
on Funds-Out IAG processing.
Questions concerning personnel details should be
directed to the Policy, Research and Development Division,
Office of Human Resources, FTS 382-3308.
3. XI -3
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SEPT. 1988
INTERAGENCY AGREEMENT POLICY AND PROCEDURES COMPENDIUM
CHAPTER: 4
TITLE: Procedures for Agreements Between Agencies
PURPOSE:
The purpose of this chapter is to present the
procedures necessary for successful origination,
execution, and closeout of an interagency agreement
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SEPT. 1988
CHAPTER 4
PROCEDURES FOR AGREEMENTS BETWEEN AGENCIES
I. INTRODUCTION
A. Purpose of the Chapter
The purpose of this chapter is to present the
procedures necessary for successful origination,
execution, and closeout of an agreement between agencies.
This chapter-presents procedures for -both categories of
interagency agreement's described in Chapter l. These are:
Policy agreements
Agreements for goods and services (lAGs)
This chapter provides model controls and procedures
associated with agreements between agencies which, if
followed, satisfy EPA and government-wide requirements for
sound management and funds control of these agreements.-
The following procedures are intended to guide, not
mandate, internal processing of these interagency
agreements.
Management of agreements between agencies involves
coordination between several offices. These are:
The program and admir.-.istrative offices of the
other agency involved-: in the agreement
The originating office (i.e., the lab or
Headquarters or regional originating office),
which initiates the 1AG
The Regional Assistance Administration Unit
(RAAU), which oversees the regional office
administrative aspects of the agreement
The, Grants Administration Division (GAD), which
assists in agreement preparation and tracking,
oversees the Headguarters administrative aspects
of the agreement, ancl provides Agency-wide policy
The Office of Federal Activities (OFA), which
assists in environmental policy agreement
preparation and tracking
Cincinnati Financial Management Center
.(CFMC), which process.es obligations and payments
and oversees financial management of the agreement
4.1-1
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SEPT. 1988
The Headquarters Budget Division, Office of the
Comptroller (OC), which approves allocation
transfers and reprogramming of funds
The Office of the Inspector General, which audits
or requests an audit by the other agency of an
agreement as necessary
The Office of International Activities (OIA),
which oversees lAGs that involve an international
component.
The offices involved vary depending on the type of
agreement. The responsibilities of the involved offices
are outlined in this chapter in Sections II, III, IV, V,
and VI.
B. Organization of the Chapter
This chapter is organized in the following manner:
Sections II and III detail the procedures associated with
the three phases of processing environmental policy
agreements and mission support policy agreements,
respectively. Section IV includes a special set of rules
that apply when entering into agreements that involve an
international component. Section V provides procedures
for disbursement and reimbursement IAG processing.
Sections II, III, and V present the responsibilities of
each office involved and are followed by exhibits which
summarize the .processing steps. Section VI presents
guidance for processing allocation transfer lAGs and is
followed by exhibits summarizing these processes.
The appendices to this chapter include information
that may be helpful in some aspect of IAG processing. The
contents of each appendix are as follows:
Appendix A - Guidelines to follow when completing
the IAG package
Appendix B - . Instructions for the regions on how to
receive IAG identification numbers from
GAD using E-Mail
Appendix C - Items that should be filed in the
originating office file and the
official file
Appendix D - Copies of- forms often used in IAG
processing
4.1-2
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SEPT. 1988
Appendix E -
Appendix F -
Checklists which should be-used when
processing agreements for goods and
services
Sample transmittal letters, sample
closeout certification, sample closeout
letters, and a sample overdue
acceptance letter.
4. 1-3
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SEPT. 1988
Headquarters Originating Office
Origination Phase
II. ENVIRONMENTAL POLICY AGREEMENTS
A policy agreement sets forth basic understandings and
relationships between EPA and other Federal agencies, or
between EPA and a State or local government, in areas of
mutual interest and responsibility. Under this type of
agreement, there is no exchange of funds;.however,
services may , be provided.'
An Environmental Policy Aqreem'Snt is an-IAG which involves
an environmental policy matter requiring the review of
EPA's high level officials or cheir designees.
Environmental Policy Agreements originating in the
Regional offices will be handled in the same manner as
other lAGs. The RAAU will maintain the official file and
will send GAD a copy of each executed IAG for GAD's files
and GIGS input.
A. Headquarters Originating Office Responsibilities
Origination Phase
1. Determine that Policy Agreement is appropriate,
that, is:
a. Agreement does not involve exchange of funds
b. Agreement is consistent with EPA statutory
• authority and/or EPA general or specific
• objectives
c.- Proposed policy agreement involves a
distinct issue, activity, or class of
activities, with clearly defined objective(s)
d. Proposed policy agreement is cost-beneficial
.' to EPA; that is, its expected benefits will
outweigh "the administrative costs (funds and
, staff support) of its development,
execution, and maintenance
e. The origination office is the appropriate
, EPA organization/functional location for the
'' policy agreement
• f. i The other agency office negotiating the
proposed policy agreement is the appropriate
organizational/functional location for the
policy agreement within the other agency
4.II-1
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SEPT. 1988
Headquarters Originating.Office
Origination Phase
g. The proposed policy agreement is not in
conflict with, or applicative of, other lAGs
or policy agreements [consult with the
Policy Agreement Coordinator in the Office
of Federal Activities (OFA) or Grants
Administration Division]
Designate contact in the program office (EPA
project officer)
Establish originating office file that will
contain the following documentation:
a. Record of negotiating process
b. Copy of Decision Memorandum
c.- Copy of executed Policy Agreement
d. Memoranda to and from OFA and others
involved in the agreement
Develop and negotiate terms of policy agreement
a. Assign title
b. Define scope of understanding/relationship
and state possibility of independent, funded
lAGs that will result from the policy
agreement
c. Identify any special provisions applicable
to the agreement, e.g., special data rights,
confidentiality, etc.
d. Establish .agreement start and completion
dates
* .
e. Determine frequency and procedures for
review of the status of the policy agreement
f. Determine method of amendments and
termination
g. If policy agreement involves
environmentally-related measurements or data
generation, develop quality assurance program
h. Identify both agencies primary point(s) of
contact
4.I1-2
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SEPT. 1988
Headquarters Originating Office
Origination Phase
i. Negotiate with the other agency to ensure
agreement on cont.ent and language
j. Consult with othe^r affected EPA offices,
including Regions, obtaining formal
concurrence wher€' appropriate
Prepare Policy Agreement
a. Format is at the option of the origination
offices.as long as elements of paragraph 4,
,above, are addressed
b. If provisions are identical to the
'provisions of a previously approved policy
•agreement, reference appropriate provisions
in the previous agreement
Prepare Decision Memorandum
a. Identify and summarize EPA objectives which
• are facilitated by the proposed policy
agreement
b. Provide rationale and justification for the
proposed policy, agreement, addressing the
elements, laid out in paragraph 1 above.
(When a statute mandates a specific agency
to carry out a policy agreement, the
Decision Memorandum need only so state and
identify the statute and section containing
the requirement)
c. Include concurrence signature element for
.OFA:
Approve for Execution:
Director, Office of Federal Activities Date
7. Assemble policy agreement package, including;
a. Decision Memorandum
b. Three copies of policy agreement with all
appropriate attachments
4.II-3
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SEPT. 1988
Headquarters Originating Office
Origination Phase/Execution Phase
.c. Quality Assurance form, if
environmentally-related measurement or data
generation is involved
d. Copy of any significant, supporting
information and correspondence, including
concurrence by other affected EPA offices
'8. Review policy agreement and approve and sign
Decision Memorandum (Decision-Official)
9. Forward policy .agreement package to the Office of
Federal Activities for concurrence. OFA retains
a copy for its file
10. Resolve any deficiencies identified during OFA
review process
11. Formally execute policy agreement
a. Sign OFA-approved policy agreement and
forward it to the other agency, or
b. Arrange for joint signing ceremony
c. .Sequence of signing is at the option of
originating office
d. To the extent that time and resources
permit, OFA will participate in the signing
process at the reguest of the originating
office
e. Program office provides copy of signed
policy agreement to OFA for its official file
8. Headcruarters Originating Office Responsibilities
Execution Phase
1. Provide management of the policy agreement
a. Report any change in agencies' contacts to
OFA
b. Provide technical and managerial oversight
for the policy agreement
c. Maintain originating office active file
4.II-4
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SEPT. 1988
Headquarters Originating Office
Execution Phase/Closeout Phase
2. Provide management of policy agreement changes
a. Initiate policy agreement changes whenever
•i there are significant changes required
b. ; Prepare policy agreement amendment package,
• detailing changes only, and process in same
; manner as original policy agreements
c. Forward amendment package to OFA for review
and concurrence
C. Headcruarters Originating Office Responsibilities
Closeout Phase
1. Initiate closeout procedures when no further
activities are to take place under the policy
agreements
2, Notify OFA that policy agreement needs to be
closed out; include brief statement on:
a. '. Accomplishments under the policy agreement
b.. Satisfaction/dissatisfaction with the
agreement, and reasons why (this will be
helpful during.reviews of future proposed
policy agreements)
3. Complete originating office file
4.11-5
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SEPT. 1988
OPA
Origination Phase
Office of Federal Activities (OFA)^Responsibilities
Origination Phase
I. Assist originating office in negotiating and
preparing policy agreement as requested
2. Upon receipt of policy agreement package from
originating office, obtain an IAG identification
number from the Grants Administration Division
(GAD)
3. Designate specialist for review of policy
agreement
4. Send basic identifying data to GAD for input to
GICS (See Attachment 4-A):
a. Title
b. IAG identification number (note: provided by
GAD)
c. Date package received in GAD (note: provided
by GAD)
d. EPA Project Officer/contact
e. EPA program (originating office)
f. Other agency and Project Officer/contact
g. Starting and ending dates
5. Establish official file
a. Label folder with IAG identification number,
name of other agency, specialist, and
expiration date
b. Include policy agreement package, closeout
notification (if appropriate) signed policy
agreement/ major reports, etc.
6. Conduct substantive review with respect to
mission and organization of both parties'
elements listed under paragraph A.I and 4 above
(Specialist)
4.II-6
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SEPT. 1988
OFA
Origination Phase/Execution Phase
7. Resolve deficiencies with originating office and
return policy agreement package for revision, as
reguired; assist in rewriting
8. Review package and make "recommendation to
Director, OFA through Chief, Program Development
and Management Staff
9. Sign certification on Decision Memorandum or
concur with staff recommendation to return to
originating office for revision (Director, OFA)
10. Forward copy of approved Decision Memorandum to
originating office for execution, or unsigned
package with a written explanation of need for
revision.
11. At the request of originating office, participate
in the signing ceremony (to the extent that time
and resources permit)
12. File signed policy agreement received from
originating office (or other agency) in official
file
13. Forward copy of signed policy agreement to GAD
£• Office of Federal Activities (OFA) Responsibilities
Execution Phase
1. Provide management oversight
a. Maintain the official file based on
documentation provided by the responsible
contact in originating office
b. Maintain liaison with originating office
c. Assist originating office in resolving
.problems of a policy nature
2. Process policy agreement amendments
a. Obtain IAG amendment number from GAD
b. Process amendments in same manner as
original policy agreement package
4.II-7
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SEPT. 1988
OFA
Execution Phase/Closeout Phase
3. Prepare quarterly policy agreement reports
a. Include in reports:
Listing of active policy agreements by
program office, other Federal agency,
identifying IAG number
Total number of policy agreements in
force at the time of the last report
Number of policy agreements entered
into and closed out during the past
reporting period
b. Distribute reports to:
Official file
". ' GAD
Office of Standards and Regulations
Regional Environmental Review (309)
coordinators
Office of Federal Activities(OFA)Responsibilities
Clos eoutPhase
1. Initiate agreement status determination query to
project officer when agreement period expires
2. When originating office requests closeout:
a. File closeout information in official file
b. Remove official file from active category
c. Inform GAD of closeout (note: GAD enters
closeout data into GIGS)
4.II-8
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SEPT. 1988 Figure 4-1
ENVIRONMENTAL POLICY AGREKMEJsrT RESPONSIBILITIES
Program ORIGINATION PHASE
Originating •Determine that policy
Office agreement is appropriate
•Designate contact:in program
office (EPA project officer)
•Establish working file
•Develop policy agreement
•Prepare policy agreement
• • Prepare Decision Memo
•Assemble policy agreement
package
•Review and approve policy
agreement package
•Forward policy agreement
package to OFA .
•Correct deficiencies identified
by OFA
•Formally execute policy
agreement on behalf of EPA
EXECUTION PHASE
• Provide management of
policy agreement
• Provide Management of
policy agreement
amendments
CLOSEOUT PHASE
' Request initiation of closcout
procedures•
' Notify OFA that policy
agreement needs to be
closed out
' Complete originating
office file
OFA
• Assist in negotiating and
preparing policy agreement
, • Obtain IAG number from GAD
(GAD enters basic data into GICS)
•Designate specialist to review
policy agreement
•Establish official file ;,
• Conduct substantive review
(Specialist)
•Resolve deficiencies
• Review package and make
recommendation to Director
(Action Official)
•Sign certification.or return to
originating office (Director. OFA)
• Forward Approved Decision Memo
or return unsigned package
•Participate in signing ceremony
(optional) «
• File signed policy agreement
• Send copy of agreement to GAD
• Provide management oversight
• Process ;x>licy agreement
amendmisnts
• Prepare quarterly policy reports
• Initiate agreement status
determination
• Conduct cSoseout procedures
upon request from originating
office
• Inform GAD of closeout
4.II-S
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SEPT. 1988
ATTACHMENT 4-A
Sample OFA E-Mail Memorandum
To: J.RAUSCHER (EPA3382)
From: QPA (EPA1901) Delivered: Thu 21-Apr-88 9:04 EOT Sys 163 (20)
Subject: MOU FOR A GIGS NUMBER
Mail Id: IPM-l63-880421-08l740515
OFA MOU LOCKING AND TRACKING FORM
OFA TRACKING NUMBER OFA LOG NUMBER 88004
TITLE:MOU BETWEEN THE SOIL CONSERVATION SERVICE, USDA AND EPA IN
REOUARD TO THE CHESAPEAKE BAY
EPA
CHUCK SPOONER
CHEASPEAKE PROGRAM
(301)266-6873
xmmmxxmxxxxmx
LEAD AGENCY: AGRICULTURE
<—CONTACT—> WALT RITTALL
<--OFFICE—>
.<—PHONE —>
ADDRESS—>
SCS, LAND TREATMENT
PROGRAM DIVISION
382-8521
OTHER INVOLVED AGENCIES:
MOU SIGNED 04/05/88
G.I.C.S. NUMBER:
MOU EXPIRES
Frank Ruslncovltch (EPA1901)
4.IC-10
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SEPT. 1988
Headquarters Originating Office
Origination Phase
III. MISSION SUPPORT POLICY AGREEMENTS
A Mission Support Policy Agreement is an IAG of the
administrative nature for activities in support of EPA's
mission (e.g. aircraft or ship maintenance services). The
Grants Administration Division will process and execute
all Headquarters Mission Support Policy Agreements. These
policy agreements do not require the review of EPA's high
level officials.
Mission Support Policy Agreements originating in the
Regional offices will be handled in -he same manner as
other lAGs. The RAAU will maintain the official file and
will send GAD a copy of each executed IAG for GAD's files
and GICS input.
A. Headcruarters Originating Office Responsibilities
Origination Phase
1. Determine that Policy Agreement is appropriate,
that .is:
a. Agreement does not involve exchange of funds
b. Agreement is consistent with EPA statutory
authority and/or EPA general or specific
objectives
c. Proposed policy agreement involves a
distinct issue, activity, or class of
activities with clearly defined objective(s)
d. -Proposed policy agreement is cost-beneficial
to-EPA, that is, its expected benefits will
outweigh the administrative costs (funds and
staff support) of its development,
=execution, and maintenance
e. The originating office is the appropriate
EPA organizational/functional location for
the policy agreement within the other agency
f. rThe other agency office negotiating the
proposed policy agreement is the appropriate
organizational/functional location for the
policy agreement within the other agency.
.g. The proposed policy agreement is not in
conflict with, or duplicative of, other lAGs
'-or policy agreements (consult with the
'. 4.IJI-1
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SEPT. 1988
Headquarters Originating Office
Origination Phase
Policy Agreement Coordinator in the Office
of Federal Activities or Grants
Administration Division)
Designate contact in the program office (EPA
project officer)
Establish originating office file that contains,
as a minimum, the following documentation:
a. Record of negotiating process
b. Copy of Decision Memorandum
c. Copy of the executed policy agreement
d. Memorandum to and from GAD and others
involved in the agreement
Develop and negotiate terms of policy agreement
a. Assign title to the agreement
b. Define scope of understanding/relationships
and staze possibility of independent, funded
lAGs that will result from the policy
agreement
c. Identify any special provisions applicable
to the agreement, e.g., special data rights,
confidentiality, patent provisions, etc.
d. Establish agreement start and completion
dates
e. Determine frequency and procedures for
review of the status of the policy agreement
f. Determine method for amendments and
termination
g. If policy agreement involves
environmentally-related measurements or data
generation, develop quality assurance program
h. Identify both agencies primary point(s) of
contact
i. 'Negotiate with other ager.cy to ensure
agreement on content and language
j. Consult with other affected EPA offices,
including Regions, obtaining formal
concurrence where appropriate
4.III-2
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SEPT. 1988
Headquarters Originating Office
Origination Phase
5. Prepare policy agreement
a. Format is at the option of the originating
office as long as elements of paragraph 4,
above, are addressed
i )
b. If provisions are identical to the
provisions of a previously approved policy
agreement, reference the specific provisions
: in the previous .agreement
6. Prepare Decision Memorandum
a. Identify and summarize EPA objectives that
are facilitated by the proposed policy
agreement
b. Provide rationale and justification for the
proposed policy agreement, addressing the
elements laid ou-c in paragraph l above.
(When a statute mandates a specific agency
to carry out a policy agreement, the
Decision Memorandum need only so state and
.identify the statute and section containing
the requirement)
c. ' Include concurrence element for agency
action official signature if separate
document does noi: exist:
Chief, GIAB, GAD Date
Assemble policy agreement package, including
a. Decision Memorandum
b. Three copies of policy agreement with all
appropriate attachments
c. Quality Assurance form, if
"^ environmentally-jrelated measurement or data
generation is involved
d. Copy of any significant supporting
information and correspondence, including
concurrences by other affected EPA offices
Review and approve policy agreement package and
sign Decision Memorandum (Decision Official)
4.III-3
-------
SEPT. 1988
Headquarters Originating Office
. . . Origination Phase/Execution Phase/
Closeout Phase
9. Forward policy agreement package to the Grants'
Administration Division for review and resolution
of possible deficiencies and for official agency
approval
B. Heado^iarters Originating Office Responsibilities
Execution Phase
1. Provide management of policy agreements
a. Report any change in agencies .contacts to GAD
b. Provide technical and managerial oversight
for the policy agreement
c. Maintain originating office file
d. Initiate policy agreement amendment whenever
there are significant changes required
e. Prepare policy agreement amendment package,
detailing changes only and process in same
manner as the original policy agreement
f. Forward policy agreement amendment to GAD
for review and approval
C. Headquarters Originating Office Responsibilities
Closeout Phase
1. Request initiation of closeout procedures when no
further activity is anticipated
2. Notify GAD when policy agreement needs to be
closed out; include brief statement on:
a. .Accomplishments under the policy agreement
b. Satisfaction/dissatisfaction with the
• agreement, and reasons why (this will be
helpful during reviews of future proposed
policy agreements)
3. Complete originating office file
4.III-4
-------
SEPT. 1988
GAD
Origination Phase
D. Grants Administration Diyis ion Responsibilities
Origination Phase
1, Assist originating of::ice in negotiating and
preparing policy agreement, as reguested
2. Upon4 receipt of IAG package, assign IAG
identification number
3. Designate IAG specialist for review of policy
agreement
4. Conduct substantive review with respect to
mission and organization of both parties'
elements listed under paragraph A.I and 4 above
(Specialist)
5. Send OFA a copy of IAG for review and comment
6. Establish official file
a. Label folder with IAG identification number,
name of other agency
b. Include policy agreement package, closeout
notification, signed policy agreement, major
reports, etc.
7. Correct deficiencies with originating office,
assist in rewriting
8. Input basic identifioition data into GICS
a. Title
b. IAG identification number
c. Date package received in GAD
d. EPA Contact (project officer)
e. Origination office
f.. ''. Other agency and contact (project officer)
g. ; Starting and ending dates
9. Sign agreement on behalf of EPA (Action Official,
Chief, GIAB, GAD)
4.III-5
-------
SEPT. 1988
GAD
Origination Phase/Execution Phase
10. Send two signed originals of the agreement to the
other agency for signature. 'If the agreement is
not returned within three weeks, send a follow-up
overdue acceptance letter
11. Inspect signed original copy of the agreement
returned from the other agency for possible
alteration that may require further
communeiations with the other agency
12. Input execution date in GIGS and file signed
original in official file
13. Provide copy of signed original to the
originating office..and to OFA '
E. Grants Administration Division Responsibilities
Execution Phase
1. Provide management oversight
a. Maintain the official file
b. Maintain liaison with originating office and
OFA
c. Assist originating office in resolving
problems of policy.nature
2. Process policy agreement amendments
a. Provide IAG amendment number
b. Process amendment in same manner as original
policy agreement packages
F. Grants Administration Division Responsibilities
Closeout Phase
1. Initiate agreement status determination query to
project officer when agreement period expires
4.III-6
-------
SEPT. 1988
GAD
Origination Phase/Execution Phase
2. When originating office requests closeout
a. Determine whether all requirements of the
policy agreement have been fully complied
• with
b. File closeout information in official file
c. Remove official file from active category
d. Enter closeout date into GIGS
e. Inform OFA
4.III-7
-------
-------
SEPT. 1988 - Figure 4-2
MISSION SUPPORT POLICY AGREEMENT RESPONSIBILITIES
Program ORIGINATION PHASE
Originating * Determine that policy agreement
is appropriate
• Designate contact in program
office (EPA project officer)
• Establish originating office file
• Develop and negotiate terms of
policy agreement
• Prepare policy agreement
• Prepare Decision Memo
* Assemble policy agreement
package
• Review and approve policy
agrement package
• Forward policy agreement
package to GAD
EXECUTION PHASE
Provide management of
policy agreements
Provide management of
policy agreement amendments
CLOSEOUT PHASE
Request initiation of closeout
procedures
Notify GAD when policy
agreement needs to be closed out
Complete originating office file
GAD * Assist in negotiating and
preparing IAG
* Issue IAG identification number '
* Designate IAG specialist for review -
of policy agreement
* Conduct substantive review (Specialist)
* Send OFA copy of IAG for review
and comment ,
• Establish official file
• Correct deficiencies with
originating office
• Enter basic data into GICS
• Sign agreement on behalf of EPA
• Send signed original to other
agency for signature '
• Send overdue acceptance letter
• Inspect copy of signed original
from other agency
• Enter execution date into GICS
* Provide copy of signed original to
originating office and to OFA
• Provide administrative
management oversight
• Process ante ndments to policy
agreement
1 Initiate agreement status
determination query
' Conduct closeout procedures
upon request of originating
office
Inform OFA of closeout
4.III-8
-------
-------
SEPT. 1988
XII. IAG TRACKING SYSTEM - GIGS
The Grants Information and Control System (GICS) of
the Office of Information Resources Management is a
national computer system used to collect, edit, and store
information relating to Environmental Protection Agency
grants, cooperative agreements, interagency agreements,
and federal policy agreements. It uses the IBM computer
and national communications facilities of the EPA's
National Computer Center (NCC) in Research Triangle Park,
North Carolina.
Specifically, GICS provides an IAG data base, an
update cycle, as well as a series of report programs. The
system receives its IAG raw data from GIAB. Other EPA
offices cannot input data into the system directly. They
are, however, free to request information in formatted
reports of many kinds, focusing on different aspects of
IAG activity. Data changes affecting an IAG, including
its close out, can only come via GIAB.
GIAB's role in maintaining accurate up to date
information in GICS for Headquarters and Regionally-
Administered lAGs is accomplished through several routine
procedures. '
A. Headquarters-Administered lAGs
1. GIAB receives the IAG package from the
originating office and assigns an agreement number. The
IAG package is given to the grants specialist for the
purpose of performing an administrative review and a copy
of the Form 1610-1 is sent to the GICS data entry clerk
who enters the basic data into the computer.
2. After an administrative review is completed and
the agreement is signed by the EPA Action Official, two
original, signed agreements are sent to the other agency
for signature. A copy of the Form 1610-1 transmittal
letter is sent to the GICS data entry clerk who enters
additional data into GICS. (In the case of Funds-In lAGs,
a copy of the executed agreement is sent to the GICS data
entry clerk directly following GIAB's approval.)
3. Upon receipt of the executed IAG agreement from
the other agency, a copy is sent to the GICS data entry
clerk who updates the GICS file.
B. Regionally-Administered lAGs
1. Regional Assistance Administration Unit (RAAU)
receives the IAG package and E-mails basic data into the
3.X1I-1
-------
SEPT. 1988
Grants Information and Analysis Branch (GIAB) at
Headquarters. GIAB assigns an agreement ID number and the
GIGS data entry clerk enters the basic identifying data
concerning the agreement into GIGS. This data includes:
a. Descriptive Title
b. Agreement Number
c. Date Request Received by GAD
d. Type of Agreement
e. Project Officer and Telephone Numbers
f. EPA Program Office
g. Other Agency
h. Amount of EPA Transaction
i. Accounting Information
GIAB provides the agreement ID number to the RAAU via
E-Mail or telephone.
2. As soon as the agreement has been signed by both
agencies, RAAU sends a copy of the executed agreement to
GIAB at headquarters. Upon receipt of the executed
agreement, GIAB sends a copy to the GIGS data entry clerk
who updates the GIGS file.
The maintenance phase is accomplished by GIGS
transmitting to GIAB twice weekly a printout of all year
to date lAGs entries into the system. The "log" is
corrected by the GIAB staff'and sent to the data entry
clerk who enters them into GIGS.
The IAG GIGS Data Input Sheet used by GIAB
(Attachment 3-E) is currently being phased out, its role
taken over by the appended "log sheet" (Attachment 3-F)
and the revised Form 1610-1 (note the categories of
information used on the log sheet).
GIGS is a system in development. As of this time, it
contains primarily data from the E-Mail Data Input Sheet
and the originating document, Form 1610-1 or the other
agency's agreement document. Information on current
financial status, for example, must be sought from CFMC,
or the project officer. All major changes in the project,
however, such as extension of time, increased funding, or
changes in the scope of the project are recorded in the
system.
GIGS is capable of producing a variety of program
reports. Those with fixed characteristics will produce
the same reports for everyone and are called "standard
reports". Others allow the user to choose criteria that
meet his/her specific needs; they are called modified
reports". Finally, those that were designed to meet
user's unique requirements are referred to as "tailored
3.XII-2
-------
SEPT. 1988
reports". The system was established to provide
information on grants/cooperative agreements and lAGs to
anyone in and out of the agency. The principle users are:
The Grants Information and Analysis Branch (GIAB)
in the Headquarters usses it to monitor status of
all lAGs and keep top management informed about
interagency agreements, and assistance activity.
The Regional Assistance Administration Units use
it to monitor lAGs and keep regional office
management informed about IAG and assistance
activity.
Office of Federal Activities in the Headquarters
uses, it to maintain current information on
federal policy agreements.
The Administrator and the Members of the Congress
depend on GICS for information on grant and
cooperative agreement activities and awards.
Managers—Federal, Sts.te, local and private—also
use GICS for input into decision making, and for
problem identif icatior-.. GICS and Program
Management Coordinators in the EPA regional
offices, and their counterparts in State and
local government offices use it to track programs
and monitor trends, tc create and modify reports,
and to assist program specialists in general.
Managers throughout the agency use GICS to stay
abreast of grant recipients' progress, reporting
milestones, and State/EPA agreements.
4
The principle of sound, fiscally responsible
management demands maximum use of the system's
capabilities and avoidance of potentially costly
duplicative activity within the agency.
To permit potential users to determine whether
existing programs in the system can meet his/her needs,
GIAB identified, catalogued, and appended examples of
several types of report programs available from GICS on
request.
Attachment 3-G lists the available GICs reports with
two sample reports. An IAG GICS processing flow chart is
also included to give an understanding of how the system
operates (Figure 3-5).
3.XIj-3
-------
SEPT. 1988
ATTACHMENT 3-E
IAG GIGS Data Input Sheet (E-Mail)
(EPA3382)
TO: J.RAUSCHER
From: GFMB/REG.vm (EPA9847) Delivered:
Subject: Region 8 GICS Data Input Sheet
Mail Id: IPM-163-880614-086180441
Ref: 8PM-GM
MEMORANDUM
TO: Joe Rauscher
BPA33B2 (Email Code)
FROM: Pete Menda
Grants Management Branch
Contact: Tenpa Holland
(FTS) 564-7122
SUBJECT: Region Vlii GICS Data Input Sheet
Tue 14-June-88 9:34 EOT Sys 163 (53)
IAG NO:
PRIOR IAG NO: New
DATE SENT: 6/14/88
OTHER AGENCY: Dept. of Interior
DEPT/LAB: Bureau of Reclamation
ADDRESS: Bldg. #67, Attn: D-211
Denver, CO 80225
Federal
AGENCY TYPE (FEDERAL, STATE OR LOCAL):
OTHER AGENCY P.O. : Gerald Bowles
PHONE: 8/776-4200
PROJECT TITLE: Assistance & Support for RD & RA for Operable Unit
2 of the Clear Creek/Central City, GO Site and General Assistance
for Operable Units 1 & 3, & Phase II RD, at Idaho Springs &
Central City, CO
TOTAL PROJECT PERIOD COST: $310,000
PROJECT PERIOD
FROM: 7/1/88
TO: 12/31/89
TOTAL BUDGET PERIOD COST: 5310,000
BUDGET PERIOD
FROM: 7/1/88
TO: 12/31/89
EPA P.O.: Holly Fliniau
EPA ORGANIZATION: EPA/Superfund Remedial Branch (8HWM-SR)
PHONE: 8/564-1519
PROG. ELEMENT NO:
APPROPRIATION NO:
DOC CONTROL NO:
OBJECT CLASS:
ACCOUNT NUMBER:
OB/DEOB AMOUNT:
TFAY9A
68-20X8145
NS0084
25.76
8TFA08LL13
$6,000
TFAY9A
68-20X8145
SSOOI6
25.76
8TFA8ALN13
$300,000
3.XI1-4
TFAY9A
68-20X8145
NS0085
25.76
8TFA08LL13
$4,000
-------
SEPT. 1988
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SEPT. 1988
ATTACHMENT 3-G
List ofAvailable IAG Reports
1) Listing of lAGs, one per page in the format
received. Select received date wanted.
2) Regional lAGs with blank acceptance dates sorted by
specialist (93 only). Must use account number or lab
3) Executed lAGs with blank acceptance dates sorted by
specialist (93 only).
4) IAG awards with acceptance dates sorted by specialist
(93 only), (accept date is not a blank).
5) Phase 2. - awards (executed) (93 only) sorted by
specialist from 1/1/83 to present.
6) One line format sorted by specialist for any status
(93 only).
7) One line format sorted by agency for any status
(93 only).
8) Executed lAGs for a month sorted by specialist.
9) Active executed lAGs sorted by specialist (92 & 93).
10) Executed lAGs sorted by specialist.
11) IAG numbers have been assigned but IAG has not been
executed; sorted by specialist (92 & 93).
12) IAG log. lAGs processed since date received sorted
by date received.
13) Time between date received and date executed
(93 only).
14) One line format for lAGs (92 & 93).
15) Active regional awards sorted by specialist (93 only),
16) Headquarters lAGs with blank acceptance dates
(93 only).
17) lAGs that are completed but not closed out (93 only).
18) Each new IAG is printed on one page and all the
amendments are listed at the bottom of the page.
3.XII-6
-------
SEPT. 1988
ATTACHMENT 3-G (cont.)
19) IAG numbers have been assigned, but IAG has not been
executed. Sorted by specialist (92 and 93).
20) lAGs sorted by the old number associated with it
before it became part of -;:he Grants Information and
Control System (GIGS).
21) Listing of executed lAGs sorted by month and totalled
(93 only).
22-) Listing of unexecuted lAGis sorted by month and
totalled (93 only).
23) Summary report only. Contains a listing of executed
lAGs (93 only).
24) Summary report only. Contains a listing of executed
lAGs (93 only).
25) Listing of executed IAG by other Federal agencies.
3.XI1-7
-------
SEPT. 1988
ATTACHMENT 3-G (cont.)
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SEPT. 1988
IV. INTERNATIONAL AGREEMENTS
A. International lAGs
A special set of rules appl.ies when the other party to
an IAG is a government agency or a private institution of
a foreign country.
No element of EPA is authorized to. enter into an IAG
with any foreign organization. The proper procedure
requires EPA to enter into an IAG with the Department of
State instead, unless an exception is made by the Office
of International Activities (OIA). An example of an
exception is an IAG between EPA and the World Health
Organization (WHO), in which WHO reimburses EPA directly
for all or part of an EPA employee's salary for an
agreed-on WHO-assignment period.. In this instance, the
originating office is assisted by the OIA.
The Department of State uses the proper instrument of
authority to transfer funds to the designated foreign
organization, unless, under case-by-case exceptions, EPA
is authorized to cooperate directly with counterpart
foreign organizations on fund transfers. Early
consultation with OIA is critical to the success of the
IAG.
The requirement of the Department of State involvement
remains unchanged even when there exists a very specific
bilateral agreement or treaty with the foreign country.
The nature of the Department of State involvement in the
implementation of the project is determined by the
Department.
The originating office should, prior to entering into
the pre-negotiations, (1) consult with OIA, and (2)
explore the possibility of using the mechanism of a
foreign grant, contract, or cooperative agreement. Size
of the project, administrative complexity, and other
factors may play an important role in the selection of the
proper funding instrument.
B. Domestic lAGs with a Foreign Component
Every domestic IAG that has a foreign component shall,
at an early stage in its development, be referred by the
originating office to the Associate Administrator, OIA,
for advice and comment. This requirement applies to all
lAGs in which foreign nationals or organizations will be
involved in the implementation {HQ, lab and regional).
4. IV--1
-------
SEPT. 1988
lAGs containing a foreign component are subject to
review and concurrence by the Associate Administrator of
OIA prior to formal execution of the agreement by the EPA
Action Official.
It is the responsibility of each AA or RA who has the
authority to enter into lAGs to ensure that proposed
agreements with foreign components have a written
concurrence of OIA prior to final execution by the
headquarters or regional Action Official. AAs and RAs may
delegate this authority to members of their staff; OIA
must be informed of such delegations.
EPA's international activities are governed by a
number of acts, statutes, regulations, treaties,
agreements, memoranda of understanding, and protocols. A
list of some of these is provided on the following page.
Since it is not possible to provide generic guidance to
the applicability and effect of one or more of these
instruments that may be used with a proposed IAG, it is
advisable to contact OIA and discuss the matter with the
responsible official as early in the process as possible.
A call to OIA indicating the country and organization that
will be affected by the proposed IAG will be referred to
the appropriate OIA official for consultation.
4.IV-2
-------
SEPT. 1988
ATTACHMENT 4-B
EPA INTERNATIONAL AGREEMENTS
Bilateral agreement activities with:
Canada, Egypt, France, Germany (FRG), India, Italy, Japan,
Mexico, Netherlands, Nigeria, Pakistan, People's Republic
of China, Poland, Republic of Korea, United Kingdom, USSR,
Yugoslavia.
Multilateral agreement activities with:
ECE Working Party on Low and Non-Waste Technology
ECE Seminar on Desulfurization of Fuels and Combustion
Gases
ECE Environmental Impact Assessment
ECE System of Environment Statistics
ECE Senior Advisors on Environmental Problems
ECE Convention on Long-Range Tiansboundary Air Pollution
ECE Working Party on Air Pollution
ECE Working Group on SOx Effects
ECE/EMEP Monitoring of European Air Pollution
OECD Environmental Committee
OECD Air Management Policy Group
OECD/IZA NOx Combustion Project:
OECD Chemicals Group and Management Committee on Chemicals
OECD Waste Management Policy Group
OECD Energy and Environmental Group
OECD State of the Environment Policy Group
OECD Economic Experts Group
Pan American Health Organization (with HHS)
UN Drinking Water Supply and Ss.nitation Decade
UNEP International Register of Potentially Toxic Chemicals
UNEP Convention on Transboundary Movement of Hazardous
Waste
UNEP/EARTHWATCH Global Assessment
UNEP/GEMS
UNEP/INFOTEKRA
UNEP Environmental and Industry Program
UNEP Cost-Benefit Environmental Project
UNEP Governing Council
UNEP Climate Impact Studies
UNEP Coordinating Commitee 'on the Ozone Layer
UNEP Caribbean Action Plan and Regional Seas Program
WHO Collaborating Center for Environmental Pollution
Control
WHO International Program on Chemical Safety
WHO Human Exposure Assessment Locations Program
WHO/GEMS Project on Urban Air Quality
WHO/GEMS Project on Inland Fresh Water Quality
International Council for Scientific Unions (ICSU)-
4.lv-3
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SEPT. 1988
ATTACHMENT 4-B (cont.)
Scientific Committee on Problems' of the Environment (SCOPE)
Convention on the Prevention of Marine Pollution by
Dumping of Waste and Other Matters
Long-Range Transboundary Air Pollution Convention
4.IV-4
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SEPT. 1988
V. DISBURSEMENT AND REIMBURSEMENT AGREEMENTS
' RESPONSIBILITIES AND PROCEDURES
A. Originating Office ResponsAbilities
The originating office is responsible for initiating
an IAG or IAG amendment, preparing necessary forms,
providing financial and program management, maintaining
the originating office file, and initiating closeout. For
Superfund activities, the originating office is also
responsible for establishing and maintaining site files.
(Chapter 3 - Superfund Cost Recovery provides information
concerning site filing.)
The procedures on the following pages' are the specific
steps to be followed by.the office originating a
disbursement or reimbursement XAG. Each step includes
conditions to be met, items to be included, and guidelines
to be observed to fully satisfy the responsibilities of
the originating office associated with the origination,
execution, and closeout phases of IAG processing.
lAGs are typically initiated by a Headquarters program
office, a lab, or a regional program office; however, the
following procedures apply for any office originating an
IAG. The main difference between procedures for
Headquarters- and lab-originating offices and those for
regional originating offices i:s that the first two
coordinate processing with the Headquarters Grants
Administration Division (GAD), while the regions
coordinate processing with the Regional Assistance
Administration Unit (RAAU).
The procedures for the originating office are
presented by the phase of processing (origination,
execution, and closeout) with distinctions in processing
each type marked as "disbursement only" or "reimbursement
only". The. procedures also distinguish between those that
apply to only Headquarters and lab initiated lAGs as "HQ
and Labs" and those that apply to only
regionally-initiated lAGs as "Regions". A checklist
designed to ensure that all of the major steps .are
completed and1 to indicate responsibility is located in
Appendix E.
4.V-1
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SEPT. 1988
Originating Office
Origination Phase
B. Originating Office Procedures
ORIGINATION PHASE
1. Initiate IAG
a. Determine that the project is mission-related and
that an IAG is the appropriate instrument; the'
following conditions must pertain:
Disbursementonly. Project supports EPA
general or specific objectives
Reimbursement only. Work being done under
authority'of the Economy Act or
Intergovernmental Cooperation Act has to be
mission related
Statutory authority exists to perform the
activity or function (see Chapter 2 -
Statutory Authorities); cite statute, e.g..
Economy Act, Clean Air Act, etc.
Disbursement only. Project involves
disbursement of funds to another Federal
agency and not to a State or local government
Reimbursement only. Project involves
reimbursement from another Federal agency,
State or local government
IAG instrument is not being used to
circumvent travel or personnel ceilings or
Federal Acquisition.Regulations
IAG involves a distinct project with a
clearly defined objective and. specific
deliverables
All activities under the IAG support the
objective
Service or product cannot be obtained
commercially or national security, cost, or
feasibility negate preference for commercial
source (see OMB Circular A-76)
IAG is justifiably the best way to achieve
the objective after alternatives to IAG have
been explored
4.V-2
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SEPT. 1988
Originating Office
Origination Phase
Project will not affect ability to service
EPA's own programs
b. Designate an IAG project officer
c. Develop a preliminary cost estimate for the
project, considering:
Personnel
- salaries
- fringe benef its
. . Travel
Equipment
expendable (< $1000)
nonexpendable (>_ $1000 and >_ 2 years
useful life)
Supplies
Procurement/Assistance (e.g., contracts,
grants or coopera.tive agreements)
Construction
;Other costs
Indirect costs
Total
d. Reimbursement only. Determine availability of
EPA personnel and equipment resources; if project must
be done and increased staffing is required, request
ceiling relief from the Budget Division of the Office
of the Comptroller
e. Prepare a Request for Personnel Action {SF-52)
and a Notice of Personnel Action (SF-50), if IAG
requires personnel details exceeding thirty days.
(The.original copy of SF-52 or SF-50 should be
forwarded:to the EPA Personnel Management Division; a
copy is sufficient for the'originating office file
(see Chapter 3 - Detailing of Personnel)
f. Reimbursement only. Determine availability of
required reimbursement authority
Request Budget Division of OC to provide
reimbursable advice of allowance
4. v-3
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SEPT. 1988
Originating Office
Origination Phase
Obtain required accounting data from finance
unit . .
In last quarter of fiscal year, verify with
OC that reimbursement -authority is available
for all lAGs over $100,000
2. Develop and negotiate terms of IAG
a. Establish the IAG framework
Define scope of work to be performed and/or
product to be provided
Establish project start and completion dates
Determine method of payment, i.e. advance
payment or repayment
Develop final cost estimate
Identify other agency's responsibilities
impacting project performance
Determine frequency and procedures for
project status reviews
Determine method and time requirements for
amendments
Determine any limitations applicable to
funds, e.g., annual, two-year, or no-year
appropriations (If project will extend
beyond current fiscal year and if funds are
not "no-year" money, relate costs to
separate fiscal years)
Disbursement only. Determine frequency of
billings from other agency to CFMC (charges
should be itemized by project and object
class, e.g., salaries, travel, and
equipment)
Reimbursement only. Determine frequency of
billings from CFMC and office in other
agency to which they should be sent
• If contractors will be used, determine name
of contractor, contract amount, and
percentage, if any, to be funded by EPA
(identify on EPA Form 1610-1). Also,
consider suspension/debarment special
conditions
4.V-4
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SEPT. 1988 "
Originating Office
Origination Phase
, Reimbursement onl y. When using another
agency's funds for a contract, consider the
FAR (see Chapter 3 - FAR) and obtain PCMD
approval of Sole Source justification. If
"using Small Purchase Order procurement, also
-include a justification
If grants or cooperative agreements will be
used, determine recipient, award amount, and
subproject.amount, if known (identify on EPA
Form 1610-1) and determine if both agencies
have required statutory authority for
assistance. Alsc, consider
suspension/debarment special conditions
iReimbursement only. When using grants or
cooperative agreements, consider the EPA
Assistance Administration regulations
Determine amount of advance notice required
for termination (insist on 30-day minimum)
b. Identify other agency',s primary point of contact
(liaison, project officer)
c. Determine any special provisions/conditions
If IAG contains international components,
contact the Office of International Affairs
(see Section IV of this chapter)
If IAG involves environmentally-related
•measurements or data generation, develop a
quality assurance program (see.Chapter 3,
Section IV - Quality Assurance)
•,If.IAG involves purchase of computers,
'software or other ADP services, include
special processing steps (see Chapter 3,
:Section VIII - ADP lAGs)
Determine any special conditions to be
satisfied under the agreement, e.g.,
documentation needs (see Appendix A at the
-,end of this chapter)
If nonexpendable property is to be used:
- Determine whether property is to be
purchased, loaned, or transferred
When appropriate, identify equipment or
property by EPA decal number,
4. v-5
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SEPT. 1988
Originating Office
Origination Phase
nomenclature, and manufacturer1s model
.number, and indicate when it is to be
furnished or acquired and specific
items, costs, etc.
- Request supplying agency to maintain
property inventory
- Vest title in EPA if property is
furnished by. EPA or purchased with EPA
funds
Obtain approvals required by the
Contracts Management Manual, when
nonseverable facilities or other
permanent improvements are to be
erected on or affixed to non-government
real property
3. . Prepare IAG forms (see Appendix A for specific
instructions on how to fill out the 1610-1)
a. HQ and Labs. Disbursement only. Complete IAG
form (EPA Form 1610-1) with assistance from GAD, as
necessary
HQ and Labs. Reimbursement only. Review the
other agency's IAG form to make sure it contains all
information usually appearing on EPA Form 1610-1.
Receive assistance from GAD as necessary. The 1610-1
may be used alone or as an attachment to the other
agency's form. Obtain the other agency's IAG
identification number, if available, and enter it on
the form
Regions. Disbursement only. Complete IAG form
(EPA Form 1610-1) with assistance from RAAU, as
necessary
Regions. Reimbursement only. Review the other
agency's IAG form and to make sure it contains all
information usually appearing on EPA Form 1610-1.
Receive assistance from. RAAU as necessary. The 1610-1
may be used alone or as an attachment to the other
agency's form. Obtain the other agency's IAG
identification number and enter it on the form
b. Prepare a decision memorandum, which:
Identifies and summarizes -EPA objectives
which are facilitated by proposed project
• and indicates EPA authority for entering
into the agreement
4.V-6
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SEPT. 1988
Originating Office
Origination Phase
Identifies the statute, and section requiring
the other agency to perform the activity,
when a statute mandates a specific agency to
carry out an IAG
Summarizes alternatives other than the IAG
mechanism that wore considered (e.g.
commercial sourcos)
Verifies that EPA quality assurance guide-
lines are being ::ollowed (See Chapter 3 -
, Quality Assurance)
Indicates whether any subagreements will be
> used
Provides rationale and justification for
selecting the proposed agency
4. Disbursement only. Prepare Commitment Notice (EPA
Form 2550-9)
a. Determine funds availability (allowance holder
function)
If funding is not in approved program office
financial plan, determine possible
reprogramming actions
Request Comptroller approval for
intra-office reprogramming
b. If funding is approved, complete EPA Form 2550-9
(commitment clerk function). The "approval" signature
must be on the form
c. Obtain the executed' Commitment Notice (project
officer function)
d. Send Commitment Notice to CFMC (mail or
electronically)
5- HQ and Labs. Assemble IAG package; package should
include: a minimum of three copies of the IAG form with
all appropriate attachments, a decision memorandum, a
commitment notice (disbursement only), a quality assurance
form as appropriate, copies of supporting information and
correspondence, such as memoranda to and from the OC or GAD
Regions. Assemble IAG package; package should
include: a minimum of two copies of the IAG form with all
appropriate attachments, a decision memorandum, a
4.7-7
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SEPT. 1988
Originating Office
Origination Phase
commitment notice (disbursement only), a quality assurance
lorrn as appropriate, copies of supporting information and
correspondence, such as memoranda to and from the OC or
RAAU
6. HQ and Labs. Review and approve IAG package/submit
package to GAD
a. Disbursement only. Enter the commitment into FMS
via an electronic system - FIRST-UP/Automatic Document
Control Register (ADCR) or forward a copy of the
. Commitment Notice to CFMC (finance unit function)
b. Reimbursement only. Obtain signature of other
agency on two copies of the IAG forms
c. Review and approve IAG package by signing the IAG
forms and the decision memorandum (decision official
function)
d. After approval, forward the IAG package to GAD
for administrative review and official EPA approval
e. Resolve any deficiencies identified during the
GAD review process or any post-execution changes to
the agreement made by the other agency
Regions. Review and approve IAG package/submit
package to RAAU
a. Disbursement only. Enter the commitment into FMS
via an electronic system - FIRST-UP/Automatic Data
Control Register (ADCR) or forward a copy of the
Commitment Notice to CFMC (finance unit function)
b. Reimbursement only. Obtain signature of other
agency on two copies of the IAG form
c. Review and approve IAG package by signing the IAG
forms and the decision memorandum (decision official
function)
d. After approval, forward the IAG package to RAAU
for administrative review and official EPA approval
e. Resolve any deficiencies identified during the
RAAU review process or any post-execution changes to
the acrreement made bv the other aaencv
ivttrtu LCTVJ.CW jjtuucsa ui. cuiy £>ua v.—CACX.UL.
the agreement made by the other agency
7. Establish the .originating office file (and site file
for Superfund activities)
4.V-8
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SEPT. 1988
Originating Office
Origination Phase/
Execution Phase
a. Assign project title (descriptive and unique to
the project)
b. By the end of the origination phase, file the
following:
Statement of just:ification for the project
Original records of discussions and
contacts, with options and resulting
decisions
Proposed funding arrangement
Record of negotic.tions
Copy of the dec is:ion memorandum
Disbursement only. Copy of the Commitment
t Notice
Drafts of IAG (until executed, then executed
copy)
Record o'f telephone conversations
Transmittal letters
HQ and Labs. Memoranda to and from OC, GAD,
CFMC, OIA (if applicable), and others
! involved in the agreement
Regions. Memoranda to and from OC, RAAU,
CFMC, OIA (if applicable), and others
' involved in the j^greement
EXECUTION PHASE
l. Provide program management oversight
a. Provide technical and managerial oversight
, Act as liaison to other agency and
• interested EPA officials
Disbursement only. Receive progress reports
. and act on them
4. V-9
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SEPT. 1988
Originating Office
Execution Phase
Reimbursement only. Prepare progress
reports and act on them
Disbursement only. Monitor delivery of
goods and services to EPA and ensure
delivery is in accordance with terms of the
agreement
Reimbursement only. Monitor delivery of
goods and services from EPA and ensure
delivery is in accordance with terms of the
agreement
b. Maintain the originating office file by including;
Periodic progress reports
Memoranda concerning relevant programmatic
and administrative activities
Reimbursement only. Copies of Reports of
Reimbursable Services Rendered (EPA Form
2550-8)
Other relevant documents
c. HQ and Labs. Address problems of an
administrative/policy nature to GAD for assistance in
resolution
Regions. Address problems of an
administrative/policy nature to RAAU for assistance in
resolution • *
d- HQ and Labs. Disbursement only. Request GAD to
ask the EPA OIG to request an audit of the agreement
by the other agency's Inspector General if there are
concerns about the manner in which the other agency is
carrying out the agreement, e.g., rate of progress,
quality of work or product, or validity of charges
(project officer function)
HQ and Labs. Reimbursement only. Request GAD to
ask the EPA OIG to audit the agreement when requested
by the other agency
Regions. Disbursement only. Request RAAU to ask
the EPA OIG to request an audit of the agreement by
the other agency's Inspector General if there are
concerns about the manner in which the other agency is
carrying out the agreement, e.g., rate of progress.
4.V-10
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SEPT. 1988
Originating Office
Execution Phase
quality of work or product/ or validity of charges
(project officer function)
Regions. Reimbursement only. Request RAAU to ask
the EPA OIG; to audit the agr
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SEPT. 1988
Originating Office
Execution Phase
Upon request from CFMC, certify that charges
on the SF1080 or SF1081 are valid and
appropriate or if OPAC or SIBAC is being
used for payments, certify that payments
made were valid and appropriate and return
approval within one week
If invoices do not represent valid and
appropriate charges or performance is not in
accordance with the IAG, withhold payment
with a written explanation of the reasons
for suspension (Use SF238 for SIBAC
adjustments)
c. Reimbursement only. Record costs of all work
performed by EPA in appropriate reimbursable accounts
d. Reimbursement only. To permit billing of the
other agency, provide CFMC information on delivery of
goods and services by EPA by completing a Report of
Reimbursable Services Rendered (EPA Form 2550-8)
3. Provide management of IAG amendments
a. Initiate IAG amendments for changes in:
Scope of work
Project period or Budget period
Project budget
Funding -terms
Other major provisions, e.g., equipment
procurement, subagreements, special
conditions
b. Prepare amendment package
Complete the IAG form to reflect changes to
the original agreement (see Appendix A at
the end of this chapter for detailed
instructions)
Prepare a decision memorandum with
justification and rationale for the amendment
Reimbursement only. Obtain approval
signature from other agency or state or
local government originating the IAG
amendment
4.V-12
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SEPT. 1988
Originating Office
Execution Phase/
.1 Closeout Phase
HQ and Labs. Forward the package to the
'Decision Official for review and approval
and then to GAD for review and official
agency approval
Regions. Forward the package to the .
Decision Official for review and approval.
and then to RAAU for review and official
agency approval
File executed amendments in the originating
office file
CLOSEQUT PHASE
l. Manage pre-closeout activity
a. When all work covered under the agreement has
been completed:
Disbursement only. Accept final report from
the other agency "
Reimbursement on).y. Prepare final report for
« the other agency
Provide or obtain a final'inventory and
disposition recommendations for
nonexpendable property within 30 days of the
end of the project
- Consult with appropriate property
management istaff to develop
recommendations consistent with GSA
procedures
- vest title in EPA if property is
furnished or purchased by EPA
- For Superfu-id lAGs, indicate special
disposition requirements
' . Forward a copy of the final
property/equipment -inventory and disposition
- recommendations to the appropriate property
management office
4.V-13
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SEPT. 1988
Originating Office
Closeout Phase
b. HQand Labs. If GAD requests a project status
determination, determine whether IAG should remain
open/extended or be closed:
If IAG should remain open/extended, provide
written explanation
If IAG should be closed, initiate closeout
'procedures
Regions. If RAAU requests a project status
.determination,, determine whether IAG should remain
open/extended or be closed:
If IAG should remain open/extended, provide
written explanation
If IAG should be closed, initiate closeout
procedures
c. . Reimbursement only. Assure that funds provided
under the agreement were credited by CFMC to the
appropriate account
2. Initiate closeout procedures
a. Disbursement only. Prepare written IAG closeout
request stating that no further activity will occur
and an explanation (e.g., project completed, funds
availability period expired, funds expended); that the
final product has been received and that final
invoices have been certified by the project officer
4 »
HQ and Labs. If work is incomplete or
unsatisfactory, initiate remedial closeout
action with assistance from GAD
Regions. If work is incomplete or
unsatisfactory, initiate remedial closeout
action with assistance from RAAU
Reimbursement only. Prepare written IAG closeout
request stating that no further activity will occur and an
explanation (e.g., project completed, funds availability
period expired, available funds expended, reimbursable
authority exhausted, project period expired); that the
final product has been provided to the other agency; that
the final Report of Reimbursable Services Rendered has
been sent to CFMC
b. HQ and Labs. Submit closeout request to GAD and
CFMC
4.V-14
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SEPT. 1988
Originating Office
Closeout Phase
Regions. Submit clos
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SEPT. 1988
GAD
Origination Phase
C. Grants Administration Division Responsibilities
The Grants Administration Division (GAD) is
responsible for assisting the Headquarters and lab
originating offices in preparing and processing a
Headquarters IAG or IAG amendment, providing
administrative oversight of these lAGs, maintaining the
official files and the Grants Information Control System
(GICS), and coordinating closeout. This office is also
responsible for providing assistance to each Regional
Assistance Administration Unit (RAAU) in processing
regionally-initiated lAGs.
The procedures on the following pages are the specific
steps to be followed by the Headquarters Grants
Administration Division (GAD) in implementing their
responsibilities associated with the origination,
execution, and closeout phases of IAG processing. The
procedures are presented by phase of processing
(origination, execution, and closeout) with distinctions
in processing of each type marked as "disbursement only"
or "reimbursement only". Since lAGs are typically
initiated by a Headquarters program office, a lab, or a
regional program office, these procedures also distinguish
between those GAD responsibilities for Headquarters and
lab initiated lAGs ("HQ and Labs") and those for
regionally-initiated lAGs ("Regions"). A checklist
designed to ensure that all of the major steps are
completed and to indicate responsibility is located in
Appendix E.
D. Grants Administration Division Procedures
4
ORIGINATION PHASE
1. HQ and Labs. Assist originating office in preparing
IAG forms, as requested
Regions. Assist the RAAU and/or regional originating
office in preparing IAG forms, as requested
2. HQ and Labs. Conduct a preliminary review of IAG
package for completeness. If incomplete, package receives
pending status
3. HQ andLabs. Upon receipt of the approved IAG package
from the originating office, assign the IAG identification
number (See Chapter 1 for detailed instructions on the
composition of this number)
4.V-16
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SEPT. 1988
GAD
Origination Phase
Regions. Upon receipt of an E-Mail request from the
RAAU, provide the IAG identif i-cation number
4. HQ and Labs. Designate an IAG Specialist to be
responsible for the IAG
5. Provide IAG information management by establishing and
maintaining the official file and by sending IAG
information to the GIGS data entry cleric (specialist
function)
• a. HQ and Labs. Establish official file and label
the folder with the IAG identification number and the
name of the other agency
b. Log in the following IAG information:
Project title
IAG identification number
Other agency's IAG number {if known)
HQ and Labs. Date IAG package received from
originating office
Regions. Date E-Mail request received from
RAAU
Type of agreement: (Funds-In or Funds-Out)
Project officer and phone number.
, EPA originating office
Other agency
Anticipated fundfmg action amount
Assigned IAG specialist
c. HQ and Labs.' File the following in the official
file:
Backer No 1 • .
Originating office checklist
- GAD check li;3t
~ Disbursement only. Commitment Notice
- Decision memorandum
4.V-17
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SEPT. 1988
GAD
Origination Phase
Backer No 2
Copy of executed IAG form and all
attachments (Note: for regional
agreements only a copy of .the first
three pages of the IAG form is filed at
GAD)
Backer No 3
- Closeout information
Backer No 4.
Transmittal letter signed by the Chief
- Cost estimate
- Relevant memoranda
Backer No 5
Audit correspondence
- Audit reports
Backer No 6
Final reports
- Large documents
d. HQ and Labs. Send a copy of the log information
(page l of the 1610-1) to the GICS data entry clerk
for IAG information to be entered into' GICS
Regions. Send a copy of the log information
(E-Mail request) to the GICS data entry clerk for IAG
information to be entered into GICS
6. HQ and Labs. Conduct statutory, regulatory, and
administrative review using the specialist's checklist in
Appendix E (specialist function)
a. Resolve any deficiencies with the originating
office and return IAG package for revision or put on
pending status as necessary
b. Reimbursement only. Provide IAG information to
CFMC
Include'allowance holder and responsibility
center
4.V-18
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SEPT. 1988
GAD
Origination Phase
Receive reimbursable account number from CFMC
Enter reimbursable account number on the IAG
form and into GICS
c. Reimbursement only. Upon request from PCMD,
certify any small purchase orders that conform to IAG
scope of work
d. Disbursement only. Prepare transmittal letter to
send two signed copies of the IAG to the performing
agency for acceptance and return (see Appendix F for
sample transmittal letter)
Reimbursement only. Prepare transmittal letter
to return executed copy of the IAG to the other agency
(see Appendix F for sample transmittal letter)
7. HQ and Labs. Review and approve IAG package
a. Conduct quality control review of IAG package
documentation including verification of any
commitment, using quality control checklist (senior
specialist function)
b. Sign the IAG copies arid transmittal letter
(action official, Chief GDJ3, .function)
c. Forward signed IAG copies and transmittal letter
to the other agency
d. Disbursement only. If signed IAG is not returned
within three weeks, send an overdue acceptance letter
to the other agency (see Appendix F for a sample)
8- HQ and Labs. Finalize the agreement
a. Disbursement only. Upon receipt of the signed
copy from the other agency, if any post-execution
changes in the agreement were made by the other
agency, turn the agreement over to the appropriate IAG
specialist (IAG control cl«rk function), and consult
with the EPA project officer to determine whether
further communication with the other agency is
necessary (specialist function)
b. Distribute the executed IAG internally (IAG
control clerk function) to.
GAD official filo (copy with original
signatures)
EPA originating office
4.V--19
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SEPT. 1988
GAD
Origination Phase/
Execution Phase
CFMC
Appropriate property management office (if
agreement involves equipment over $1000)
.Reimbursement only. Budget Division of the
Office of the Comptroller
EXECUTION PHASE
1. HQ and Labs. Provide management oversight
a. Maintain the official file based on documentation
provided by the originating office and CFMC
b. Act as liaison to program and administrative
offices involved in the IAG process
c. Assist originating office in resolving
policy-related problems
d. Review FMS and GICS data quarterly
Identify inactive lAGs
Ask originating office for project status
determination of an IAG that is inactive for two
quarters
e. Disbursement only. Review and cosign invoices,
if necessary (optional)
2. HQ and Labs. Process IAG amendments
a. Establish IAG amendment identification number
(Note: for regional agreements/ confirm amendment
number assigned by the RAAU and ensure that all
previously executed actions have been received by GAD)
b. Conduct legal and administrative review
(specialist function)
c. Reimbursement only. Provide IAG amendment number
to CFMC
Receive updated reimbursable account number from
CFMC
Enter updated reimbursable account number on the
IAG form and into GICS
4.V-20
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SEPT. 1988
GAD
Execution Phase/
Closeout Phase
d. Disbursement only. Prepare letter to transmit
two signed copies of the IAG amendment to the other
agency for acceptance and return
Reimbursement only. Prepare letter to return one
signed copy of the IAG amendment to the other agency
e. Conduct quality control review (senior specialist
function)
f. Review and sign IAG amendment package (action
official, Chief GIAB, function)
g. Forward signed amendment package and transmittal
letter to the other agency
h. Disbursement only. If signed amendment is not
returned within three weeks., send an overdue
acceptance letter to the ot.her agency
i. Distribute the executed amendment internally (IAG
control clerk function) to:
GAD official file; (copy with original
signatures)
EPA originating office
CFMC
Appropriate property management office (if
agreement involves equipment over $1000)
Reimbursement onXy. Budget Division of the
Office of the Coraptroller
'i
3. HQ and Labs. Prepare monthly and annual reports on
lAGs no later than 15 calendar days after the end of the
month/fiscal year with separate information for
reimbursement;; and disbursement agreements
4. Verify and update information in GIGS
' CLOSEOUT PHASE
!• HQ and Labs. When project period expires or IAG is
inactive for.two quarters, ask project officer for project
status determination
4.V-21
-------
SEPT. 1988
GAD
Closeout Phase
2. Hg^and Labs. Disbursement only. When requested by
the originating office and when advised by CFMC that all
bills are paid and all obligations have been cleared,
determine remaining balance and close out the IAG
a. Send a closeout letter to the other agency to
notify them that the IAG will be closed out unless a
response is received within the given time period (see
Appendix F for a sample closeout request)
b. File closeout information in the official file
X
c. Remove the file from active status
d. Retain the file until advised to dispose of it
HQand Labs. Reimbursement only. When requested by
the originating office and when advised by CFMC that all
payments have been received, close out the IAG
a. Send a closeout letter to the other agency
indicating that the IAG will be closed out unless a
response is received within the given time period (see
Appendix F for a sample closeout request)
b. File closeout information in the official file
c. Remove the file from active status
d. Retain the file until advised, to dispose of it
3. Record closeout data in GICS
4. HQ and Labs. Verify closed status in the next
monthly/annual report.
4.V-22
-------
SEPT. 1988
• - RAAU
Origination Phase
£• Regional Assistance Adminisitration Unit
Responsibilities
The Regional Assistance Administration Unit (RAAU) is
responsible for assisting the regional originating office
in the processing of a regional IAG or IAG amendment,
providing administrative oversight of these IAGs,
maintaining the official files, and coordinating
closeout. (For additional information, see the OERR
Regional Processing of Superfund IAGs handbook.)
The procedures on the following pages are the specific
steps to be followed by the RAAU in implementing their
responsibilities associated with the origination,
execution, and closeout phases of regional IAG processing.
Each set of procedures is presented by the phase of
processing (origination, execution, and closeout) with
distinctions in processing of each type marked as
"disbursement only" or "reimbursement only". A checklist
designed to ensure that all of the major steps are
completed and to indicate responsibility is located in
Appendix E.
F. Regional Assistance Administration Unit Procedures
ORIGINATION PHASE
1. Assist originating office :Ln preparing IAG forms as
requested
2. Upon receipt of an approved IAG package from the
originating office, obtain the IAG identification number
from GAD by E-Mail (see Appendix B)
3. Conduct a preliminary reviow of the IAG package for
completeness., If incomplete, package receives pending
status
4. Designate an IAG Specialis--: to be responsible for the
IAG
5. Provide IAG information management (specialist
function)
a. Establish official file and label the folder with
the IAG identification number and the name of the
other agency
b. Log ,,in the following IAG information:
Project title
4.V-23
-------
SEPT. 1988
RMU
Origination Phase
IAG identification number
Other agency's IAG number, if available
Date IAG package received from originating
office
Type of agreement (Funds-In or Funds-Out)
Project officer and phone number
EPA originating office
Other agency
Anticipated funding action amount
Assigned IAG specialist
c. File the following in the official file:
Backer No 1
- Originating office checklist
RAAU checklist
•
•- Disbursement only. Commitment Notice
• - Decision memorandum
Backer No 2
- Copy of executed IAG form and all
attachments
Backer No 3
- Closeout information
Backer No 4
- Transmittal letter signed by the RA or
designee
- Cost estimate
- Relevant memoranda
Backer No 5
Audit correspondence
4.V-24
-------
SEPT. 1988
RAAU
Origination Phase
Audit reports
Backer No 6
Final reports
Large documents
6. Conduct, statutory, regulatory, and administrative
review using the specialist's checklist in Appendix E
(specialist function)
a." Resolve, any deficiencies with the originating
office and return IAG package for revision or put on
pending status as necessary
b. Reimbursement only. Provide IAG information to
CFMC
. Include allowance: holder and responsibility
center
Receive reimbursc.ble account number from CFMC
Enter reimbursable account number on the IAG
form
c. Reimbursement only. Upon request from PCMD,
certify any small purchase orders that conform to IAG
scope of work
d. Disbursement only. Prepare transmittal letter to
send two signed copies of the IAG to the performing
agency for acceptance and return of a fully-executed
copy (see Appendix F for sample transmittal letters)
Reimbursement only. Prepare transmittal letter
to return executed copy of the IAG to the other agency
(see Appendix F for sample transmittal letters)
i
7. Review and approve IAG package
t
a. Conduct quality control review of IAG package
documentation, using quality control checklist (senior
specialisit function)
b. Sign the IAG copies and transmittal letter
(action official, RA, function)- .
d. Forward signed IAG copies and transmittal letter
to the other agency
4.V-25
-------
SEPT. 1988
RAAU
Origination Phase/
Execution Phase
e. Disbursement only. If signed IAG is not returned
within three weeks, send an overdue acceptance letter
to the other agency (see Appendix F for a sample)
8. Finalize the agreement
a. Disbursement only. Upon receipt of the signed
copy from the other agency, if any post-execution
changes in the agreement were made by the other
agency, turn the agreement over to the appropriate IAG
specialist (IAG control clerk function),- and consult
with the EPA project officer to determine whether
further communication with the other agency is
necessary (specialist function)
b. Distribute the executed IAG internally (IAG
control clerk, function) to:
RAAU official file (copy with original
- signatures)
GAD
EPA regional originating office
CFMC
•
Regional Property Management Office (if
agreement involves equipment over $1000)
Reimbursement only. Budget Division of the
Office of the Comptroller
EXECUTION PHASE
1. Provide management oversight -
a. Maintain the official file based on documentation
provided by the originating office and CFMC
b. Act as liaison to program and administrative
offices involved in the IAG process .
c. Assist originating office in resolving
policy-related problems
d. Review FMS data quarterly
• - . Identify inactive lAGs
4.V-26
-------
SEPT. 1988
RAAU
Execution Phase
Ask originating office for project status
determination of an IAG that is inactive for
two quarters
e. Disbursement only. Review and cosign invoices,
if necessary (optional)
Process IAG amendments
a. Assign IAG amendment identification number and
have it confirmed by GAD using E-Mail
b. Conduct legal and administrative review
(specialist function)
c. Reimbursement only. Provide IAG amendment number
to CFMC
Receive updated reimbursable account number
from CFMC
Enter updated reimbursable account number on
the IAG form
d. Disbursement only. Prepare letter to transmit
two signed copies of the IAG amendment to the other
agency for acceptance and return
Reimbursement only. Prepare letter to return one
signed copy of the IAG amendment to the other agency
e. Conduct quality control review (senior specialist
function)
f. Review and sign IAG amendment package (action
official, RA, function)
g. Forward"signed amendment package and transmittal
letter to the other agency
h. Disbursement only. If signed amendment is not
returned within three weeks, send an overdue
acceptance letter to the other agency
i. Distribute the executed amendment internally (IAG
control clerk function) to:
RAAU official file (copy with original
:signatures)
EPA regional originating office
GAD
4.V-27
-------
SEPT. 1988
RAAU
Execution Phase/
Closeout Phase
CFMC-
Regional Property Management Office,
Facilities and Support Services Division
(if agreement involves equipment over $1000)
Reimbursement only. Budget Division, OC
3. Prepare monthly and annual reports on lAGs no later
than 15 calendar days after the end of the month/fiscal
year with separate information for.Funds-In and Funds-Out
agreements
CLOSEOUT PHASE
1. When project period expires or IAG is inactive for two
quarters, ask project officer for project status
determinat ion
2. Disbursement only. When requested by the originating
office and when advised by CFMC that all bills are paid
and all obligations have been cleared, determine remaining
balance and close out the IA6
a. Send a closeout letter, signed by the RA, .to the
other agency to notify them that the IAG will be
closed out unless a response is received within the
given time period (see Appendix F for a sample •
closeout request)
b. File closeout information in the official file
c. Remove the file from active status
d. Retain the file until advised to dispose of it
Reimbursement only. When requested by the originating
office and when advised by CFMC that all payments have
been received, close out the IAG
a. Send a closeout letter, signed by the RA, to the
other agency to notify them that the IAG will be
closed out unless a response is received within the
given time period (see Appendix F for a sample
closeout request)
b. File closeout information in the official file
c. Remove the file from active status
4.V-28
-------
SEPT. 1988
RAAU
Closeout Phase
d. Retain the file until advised to dispose of it
3. Send a copy of the closeoui: letter to GAD, so that
closeout data may be recorded :ln GIGS, and CFMC, so that
their files may be closed out
4. Verify closed status in tho next monthly/annual report
4.V-29
-------
SEPT. 1988
CFMC
Origination Phase/
Execution Phase
G. Cincinnati FinancialManagement Center Responsibilities
The Cincinnati Financial Management Center (CFMC) is
responsible for ensuring that commitments are in the
Financial Management System, recording obligations,
processing vouchers for payment, processing billings to
and collections from other agencies, and performing
financial closeout functions. (For more detailed
information on the roles and responsibilities of the CFMC
and processing steps, see the Financial Management for
Processing of Superfund lAGs handbook.)
The procedures on the following pages are the specific
steps to be followed by the CFMC in implementing their
responsibilities associated with the origination,
execution, and closeout phases of IAG processing. Each
set of procedures is presented by phase of processing
(origination, execution, and closeout) with distinctions
in processing of each type marked as "disbursement only"
or "reimbursement only".
H. Cincinnati Financial Management Center Procedures
ORIGINATION PHASE
1. Disbursement only. Establish commitments upon receipt
of a Commitment Notice from the originating office (unless
previously entered by the originating office via an
electronic system)
Reimbursement only. When contacted by the GAD or
RAAU, establish and provide the official reimbursable
account number
2. Disbursement only. Ensure that the commitment wa.s
prevalidated by GAD or RAAU and record the obligation in
FMS upon receipt of a copy of the executed IAG
EXECUTION PHASE
1. Upon receipt of a copy of the executed IAG, log in the
agreement, establish an IAG file, .and review the financial
information on the agreement for accuracy
2. Disbursement only. Process invoices
a. Log in the invoice
4.V-30
-------
SEPT. 1988
CFMC
. Execution Phase/
Closeout Phase
b. Forward the invoice to the project officer for
approval
c. Upon receipt of approval, pay the performing
agency the amount certified by the project officer
using the pre-determined mothod (OPAC, SIBAC, check
payment, or transfer)
Reimbursement only. Process billings to and
collections from the other agency
a. Upon receipt of the Report of Reimbursable
Services Rendered, bill tho other agency for the
amount indicated
Retain a copy of the bill in the IAG file
Establish unpaid bill file
Record accounts receivable
b. Monitor and receive payments from the other agency
c. Maintain the monthly Report of Appropriations
Reimbursement
d. Coordinate crediting of funds provided under the
agreement to the proper account with the finance unit
of the originating office
3. Provide financial information to GAD or RAAU and the
originating office, as requested
4. Disbursement only. Record obligations and
deobligations associated with amendments, upon receipt of
a copy of an amended IAG from the GAD or RAAU
Reimbursement only. Record increases or decreases in
IAG amount upon receipt of a copy of an amended IAG from
the GAD or RAAU
CLOSEOUT PHASE
1. Reimbursement only. Upon receipt of a closeout notice
from GAD or RAAU, determine that all payments due have
been received, determine remaining balance, and provide
the balance to GAD or RAAU.
Disbursementonly. Perform financial closeout of the
IAG.
4.V-31
-------
SEPT. 1988
" CFMC
Closeout Phase
a. Periodically review unliquidated obligations and
notify GAD or RAAU of those lAGs that have been
inactive for two quarters, so that they may then ask
the project officer for a project status determination
b. Upon receipt of a closeout notice from GAD or
RAAU, determine that there are no outstanding vouchers
and determine the remaining balance and provide the
balance to GAD or RAAU
c. Upon receipt of the closeout letter, deobligate
.any remaining funds after the closeout response period
has expired.
4.V-32
-------
SEPT. 1988
Budget Division, OC
Origination Phase
I, Headquarters Budget Division, Office of the
Comptroller Responsibilities
The Headquarters Office of the Comptroller (OC) Budget
Division is responsible for approving funding requests
from the originating offices and determining the
availability - of. reimbursable authority.
The procedures below are the specific steps to be
followed by the Budget Division, OC in implementing its
responsibilities associated with the origination phase of
IAG processing. The procedures are presented with
distinctions in processing each type marked as
"disbursement only" or "reimbursement only".
J. Budget Division, Office of the Comptroller Procedures
ORIGINATION PHASE
I. Disbursement only. Upon receipt and review of a
reprogramming request from the originating office, approve
intra-office reprogramming of funds
Reimbursement only. Upon request from the originating
office, determine availability of reimbursable authority
a. Reserve reimbursable authority equal to the
requested preliminary estimate from the originating
office's Allowance Holder
b. Provide reimbursable authority to the originating
office's Allowance Holder if available
c. Request additional reisnbur sable authority from
OMB, and if approved, provide to the appropriate
Allowance Holder
d. Adjust the reimbursable authority reserved upon
receipt of refined cost estimates
2. Reimbursement only. Upon receipt of a copy of a
fully-executed reimbursement IA3, provide advice of
allowance to the originating office's Allowance Holder.
4.V-33
-------
SEPT. 1988
OIG
Execution Phase
K. Office of the Inspector General Responsibilities
The Office of the Inspector General (OIG) is
responsible for auditing or requesting audits of lAGs when
requested by GAD, RAAU, the originating office or the
other agency. These responsibilities are associated with
the execution phase of IAG processing and are presented
below with distinctions' in processing of each type marked
as "disbursement only" or "reimbursement only" .
L. Office of the Inspector General Procedures
EXECUTION PHASE
1. Disbursement only. When notified by the originating
office, GAD, or the RAAU, request the other agency's
Inspector General to conduct an audit of the agreement
Reimbursement only. When requested by the other
agency, GAD, RAAU, or the originating office, conduct an
audit of the agreement being performed by EPA.
4.V-34
-------
SEPT. 1988
Figure 4-3
DISBURSEMENT IAG PROCESSING
(HEADQUARTERS and LABS)
ORIGINATION PHASE
Other
. Agency
Initiate
IA/"1
JAvj
Develop and
Negotiate
Terms of IAG
Accept and
Sign IAG
*-
1
Originating
Office
Initiate
TAf
lAU
f
Develop and
Negotiate ,
Terms of IAG
+
Prepare IAG
Forms and
Decision
Memo
+
Prepare
Commitment
Notice
1
Assemble
IAG
Package
4
Review and
Approve IAG
Package; Sub-
mit to GAD
+
Establish
Originating
Office File
File IAG
in Originating
Office File *
i+
r
j
GAD
Assign IAG ID
Number, Enter
Data into
GlCSfstablish
Official File
I
Review aid
Sign for EPA
4
Obtain Other
Agency's
Signatuie
i
»
Distribute
Signed IAG;
Record IAG
Data in GICS
CFMC
i
Record
Obligation in
FMS
BD, OC
Approve
Intra-Office
ming of Funds
(as necessary)
'
4.V-35
-------
SEPT. 1988
Figure 4-4
DISBURSEMENT IAG PROCESSING
(HEADQUARTERS and LABS)
EXECUTION PHASE
Other
Agency
Originating
Office
GAD
CFMC
OIG
Provide
Administrative
Management
Oversight
Perform .
Services;
Submit Pro-
gress Reports
Provide
Program
Management
Oversight
BUI EPA for
Services
Review and
Approve
Invoices
Review and
Approve
Invoices
(optional)
Receive
Payments
Initiate and
Manage LAG
Amendments
Process IAG
Amendments;
Provide ID
Numbers)
Accept and
Sign LAG
Amendments
Record LAG
Information
in GIGS
File
Amendmem(s)
in Originating
Office File
Distribute
Signed IAG
Amendments);
Prepare Reports
^*mmmi*^i^^*m^mm
••••••••^^•MMIIIIIMMiM
4.V-36
Request Other
Agency's IG to
Audit IAG
(upon request)
Request Project
Officer
Certification
Process
Invoices for
Payment
Record
Obligation,
If Applicable
-------
SEPT. 1988
Figure 4-5
DISBURSEMENT IAG PROCESSING
(HEADQUARTERS and LABS)
CLOSEOUT PHASE
Other
Agency
Determine
Project
Status
Receive
Closeout Letter
and Respond (if
appropriate)
Originating
Office
Complete
Originating
Office File
GAD
Ent;r Closeout
Information
into GICS
CFMC
Determine
Financial
Status
Deobligate
Funds
(as necessary)
4.V-37
-------
SEPT. 1988
Figure 4-6
REIMBURSEMENT IAG PROCESSING
(HEADQUARTERS and LABS)
ORIGINATION P
Other
Agency
Initiate
LAG
Develop and
Negotiate*
Terms of LAG
Prepare LAG,
Forms
Sign LAG
Receive
Signed LAG
Originating
Office
Initiate
LAG
J*
Devel
Neg(
Terms
op and
>tiate
of LAG
1
. PrepafelAG
Forms and Dec.
Memo;
Assemble IAG
Package
*
Revii
Appro
Packagi
Other;
Sien
i
:wand
veLAG
e;Obtain
Vgency's
ature
r
Submit to
GAD for EPA
Official
Approval
X
Establish
Originating
Office File
File IAG
in Originating
Office File
GAD
»
r*"
r
Assign IAG ID
Number; Enter
Data into
GlCS;EstabIish
Official File
f
Obtain
Reimbursable
Account
Number from
CFMC
i
Review and
Sign for EPA
x
Return Signed
LAG to the
Other Agency
±
Distribute
Signed LAG;
Record LAG
Data in GICS
HASE
CFMC
-
Provide
_- Reimbursable
Account
Number
BD,OC
Determine
Availability of
Authority
(upon request)
-
Provide Advice
of Allowance
* to Originating
Office
4.V-38
-------
SEPT. 1988
Figure 4-7
REIMBURSEMENT IAG PROCESSING
(HEADQUARTERS and LABS)
EXECUTION PHASE
Other
Agency
Originating
Office
GAD
CFMC
OIG
Process
Payments to
EPA
Sign IAG
Amendments
Perform
Activities
Outlined in
IAG
Provide
Program
Management
Oversight
Provide
Administrative
Management
.. Oversight
Process
Billings to and
Collections
from Other
Agency
Initiate and
Manage LAG
Amendments
Process IAG
Amendments;
Provide IE'
Numbers)
File
Amendments)
in Originating
Office File
Establish
Updated
Reimbursable
Account
Numberts)
Distribute
Signed IAG
Amendments);
Prepare Reports
4.V-3!)
-------
SEPT. 1988
Figure 4-8
REIMBURSEMENT IAG PROCESSING
(HEADQUARTERS and LABS)
CLOSEOUT PHASE
Other
Agency
1
t
Receive
Closeout Letter
and Respond (if
appropriate)
Originating
Office
Manage
Pre-closeout ^
Activity
t
Initiate
Closeout
Procedures ^
r
Complete
Originating
Office File
GAD
^-
Determine
Project
Status
Se
Clos
Lettt
Other/
'
nd
eout
if tO
Vgency
p
Enter Closeout
Information
into GICS
I
Complete
Official File
CFMC
Ensure That
^ All Payments
Have Been
Received
4.V-40
-------
SEPT. 1988
Figure 4-9
DISBURSEMENT IAG PROCESSING
(REGIONS)
ORIGINATION PHASE
Other
Agency
Initiate
TAtf"2
1/Uj
Develop and
Negotiate
Terms of IAG
Accept and
Cifrn t A/"J
' -
Regional
Originating
Office
Initiate
1AI~l
UVJ
t
Develop and
Negotiate
Terms of IAG
t
Prepare
IAG Forms and
Decision
Memo
*.
Prepare
Commitment
WrtrifA
+
Assemble
IAG Package;
Submit to
RAAU
f
Establish
Originating
Office File
•
.
File IAG
in Originating
Office File
^
_^
^~
RAAU
Review (AC
Paclcaije;
Submit Ui RA
for Sigmiture
|
. Establish
Official
File
±
Obtain Cither
Agency's
Signature
+
Distribute
Signed TAG
L
GAD
Provide IAG ID
_^ Number, Input
Data into GICS
•
Verify and
Update IAG
""^ Information in
GICS
BD,OC
Approve
Intra-Office
ming of Funds
(as necessary)
•
CFMC
•
Record
Obligation in
FMS
t
4.V-41
-------
SEPT. 1988
Figure 4-10
DISBURSEMENT IAG PROCESSING
(REGIONS)
EXECUTION PHASE
Other
Agency
i
Peri
Sem
Subm
gressl
brm
ices;
UPro-
leports
1
Bill EPA for
Services
Receive
Payments
Accept and
Sign IAG
Amendments
•
Regional
Originating
Office
Provide
Program
Management
Oversight
1
Review and
Approve
Invoice
I
r
Initiate and
Manage
IAG
Amendments
File
Amendments)
in Originating
Office File
•
RAAU
Pro1
Admini
Manag
Over
t
s
ride
strati ve
ement
sight
h
-*
Review and
Approve
Invoice
(optional)
Process
Amendments
A""]
Distr
Signe
Amendi
Prepare
f
ibute
dlAG
ment(s);
Reports
4
OIG
Request Other
^ Agency's IG to
•^ Audit IAG
(upon request)
GAD
•
Provide ID
Humberts);
~* Enter Data into
GIGS
Record IAG
_^ Information
inGICS
CFMC
Request Project
_- Officer
Certification
Process Invoice
Record
Obligation,
if applicable
t
4.V-42
-------
SEPT. 1988
Figure 4-11
DISBURSEMENT IAG PROCESSING
(REGIONS)
CLOSEOUT PHASE
Regional
Originating
Office
Other
Agency
Submit
Final
Repprt
Manage
Pre-closeout
Activity
Determine
Project
Status
Enter Closeout
Information
into GICS
Other Agency
Receive
Closeout Letter
and Respond (if
appropriate)
4.V-43
-------
I
SEPT. .1988
Figure 4-12
REIMBURSEMENT IAG PROCESSING
(REGIONS)
ORIGINATION PHASE
Other
Agency
Initiate
fArt
LALJ
Develop and
Negotiate
Terms of IAG
Prepare IAG
Forms
Sign IAG
Receive
Signed IAG
^
Regional
Originating
Office
Initiate
T An
1AU
+
Develop and
Negotiate
TennsoflAG
+
Prepare IAG
Forms and Dec.
Assemble IAG
Package
1
Review and
Approve IAG
Package;Obtain
Other Agency's
Signature
4>
Submit to
RAAUfor
Official EPA
Approval
4*
Establish
Originating
Office File
File IAG
Office File
^
• .
^
^m
r
\
RAAU
Package;
Establish
Of fi rial Pi1p
|
Obtain
Reimbursable
Account
Number from
CFMC
4
Submit to
RAfor
Signature
4
Return Signed
IAG to the
Other Agency
i
Y
Distribute
Signed IAG;
Record IAG
Data
t •
4
^
h,
GAD
Provide IAG ID
Data into GICS
Verify and
Update IAG
Information in
GICS
BD.OC
Determine
Availability of
Authority
(upon request)
CFMC
Provide
_^ Reimbursable
Account
Number
BD,OC
Provide Advice
of Allowance
to Originating
Office
*
4.V-44
-------
SEPT. 1988
Figure 4-13
REIMBURSEMENT IAG PROCESSING
(REGIONS)
EXECUTION PHASE
Other
Agency
Regional
Originating
Office
RAAU
CFMC
OIG
Process
Payments to
EPA
Sign
IAG
Amendments
. Perform
Activities
Outlined in
IAG
Audit the IAG
When
Requested
InfbimCFMC
of Deliveries of
Goods and
Services (EPA
Form 2550-81
Initiate and
Manage LAG
Amendments
Process IAG
Amendments;
Obtain IAG
Number
File
Amendments)
in Originating
Office File
GAD
Establish
Updated
Reimbursable
Account
Numbers')
Distribute
Signed IAG
Amendments);
Prepare Reports
4.V-15
-------
SEPT. 1988
Figure 4-14
REIMBURSEMENT IAG PROCESSING
(REGIONS)
CLOSEOUT PHASE
Other
Agency
Regional
Originating
Office
RAAU
GAD
CFMC
Manage
Pre-closeout
Activity
Determine
Project
Status
Initiate
Closeout
Procedures
Send
Closeout
Letter to
Other Agency
Accept
Closeout Letter
and Respond (if
appropriate)
Complete
Originating
Office File
i
Ensure That
All Payments
Have Been
Received
Enter Closeout
Information
into GICS
Complete
Official File
4.V-46
-------
SEPT. 1988
VI. ALLOCATION TRANSFERS
A. Definitions '
According'to'Part VIII of OMB Circular A-34, the term
"transfer" is used to designate the shifting of funds
between agencies from one appropriation account or fund
•account to another account. Transfers may be made to
carry out the purposes of either the transferring account
or the receiving account. Transfers in return for goods
and services benefit the transferring account. An
allocation transfer involves ths delegation of
obligational and spending authority from one agency (the
"parent" account holder) to another agency (the
"receiving" account holder). Allocation transfers are
considered "non-expenditure 'tra.-isactions . "
EPA distinguishes between allocation transfers from
EPA to another agency (allocation transfers-out) and
transfers to EPA from another agency (allocation
transfers-in).°. In the case of allocation transfers-out,
EPA transfers appropriated fundis to another Federal agency
and typically-delegates obligational and spending
authority to another Federal agency from EPA, which
enables the other agency to perform services for and/or
deliver goods to EPA. Obligations and payments are made
by the other agency and are reported to EPA.. Funds are
transferred to the other1agency by EPA periodically, based
on the other agency's submission of monthly or quarterly
outlay projection or an informal request to EPA. Numerous
reporting requirements accompany the allocation transfer
process. The other agency must submit one monthly
(SF133), one quarterly (SF225), and at least eight
financial reports (TFS2108, SF2:>0, SF220-1, SF220-8,
SF220-9, SF221, SF222, SF223) to EPA's Financial Reports
and Analysis Branch, Financial Management Division. In
the case of allocation transferss-in, another Federal
agency transfers obligational and spending authority to
EPA so that EPA can pay for its expenses incurred when
performing services for and/or delivering goods on behalf
of the other agency.
B, Procedures: for Allocation Transfers
1. Originate the IAG
* ' . "
The procedures for initiating an allocation
transfer-in IAG are like those i:or reimbursement lAGs, and
the procedures for initiating an allocation transfer-out
IAG are like those for disbursement lAGs. Because the
transfer of obligational and spending authority is
involved, and the transfer occurs at the appropriation.
level, the originating office must request approval from
4.VI-1
-------
SEPT. 1988
the Budget Division, Office of the Comptroller before
entering into an allocation transfer IAG. Upon initiation
of the IAG by a Headquarters originating office, the
Allowance Holder must submit a change request to the
Budget Formulation and Control Branch, Budget Division,
Office of the Comptroller, so that the appropriate
program's allowance may be reduced to reflect the transfer
to the receiving agency. For an IAG initiated in the
region, the Regional Assistance Administration" Unit (RAAU)
has the same responsibility as GAD for HQ.
As for disbursement and reimbursement lAGs, the
originating office must prepare the IAG .package, including
the IAG forms, a decision memorandum, a transmittal
memorandum, and other relevant information. A commitment
notice is not necessary. The decision official must
review and approve .the package, as well as the action
official, who gives official EPA approval. When the IAG
has been signed by both agencies, the GAD or RAAU sends a
copy of the executed IAG to the originating office, the
Financial Reports and Analysis -Branch of the Financial
Management Division, and the Budget Division. The GAD
then enters the IAG data into the Grants Information and
Control System (GIGS), but allocation transfer data are
not recorded as commitments or obligations in FMS;
however, FMD reduces the budget authority in FMS by the
IAG amount.
2. Provide Management During Execution
The administration of an allocation transfer IAG
differs from that of disbursement and reimbursement lAGs
in the area of financial management. The executed IAG
typically serves to transfer obligational and spending
authority to the other agency. Once an allocation
transfer-out IAG is signed, the Budget Division withdraws
the entire amount of the IAG from the appropriate
allowance (via a change request) and reprograms the funds
to the EPA Operating Plans' Allocation Transfer Reserve so
these same funds cannot be obligated by EPA. The other
Federal agency initiates the actual transfer of funds by
submitting a quarterly (or more frequent) outlay
projection or plan to the Budget Division. The Division
prepares a memorandum signed by the Division Director
authorizing the transfer of required funds. The Financial
Reports and Analysis Branch receives this memorandum and
executes the transfer from EPA to the performing agency
via an SF1151, "Non-Expenditure Transfer Authorization"
sent to Treasury.
The performing agency is required to submit by the
fifteenth of each month reports via an SF133, "Report on
Budget Execution," on obligations and expenditures during
the period to EPA1s .Financial Reports and Analysis Branch,
4.VI-2
-------
SEPT. 1988
Financial Management Division, Office of the Comptroller.
The other agency must also provide periodic status reports
to the IAG Project Officer in the originating office. The
Office of the Comptroller is also required to submit
periodic reports to the OMB on allocation transfer
activity.
3. Close Out the IAG
The closeout procedures for an allocation transfer
differ somewhat from those for disbursement and
reimbursement lAGs. One difference is that the GAD/RAAU
asks the EPA Inspector General to request the other
agency's Inspector General to determine the financial
status of the IAG for allocation transfers-out. Because
there are no billing transactions as such between
agencies, outstanding invoices or payments are not a
concern in the closeout of an eillocation transfer-out
IAG. However, to financially close out the allocation
transfer-out IAG, the Office of the Comptroller must
recover unused obligational authority from the other
agency, and the other agency must return any unused
obligational authority. This recovery is accomplished
through a decrease of obligational authority closeout
action and an SF1151.
C. Additional Information
Following this narrative ate flowcharts summarizing
the procedures for the origination, execution, and
closeout phases of processing for both
Headquarters-initiated and regionally-initiated allocation
transfers-outi Following the flowcharts in Attachment A
are excerpts from OMB Circular A-34 (August 26, 1985)
which provide additional information on the procedures for
allocation transfers. Questions concerning allocation
transfers should be directed to the Financial Reports and
Analysis Branch, Budget Division, Office of the
Comptroller, FTS 382-5131.
4. VI -3
-------
-------
SEPT. 1988
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4.VI-4
-------
-------
SEPT.1988
Figure 4-16
TRANSFER-OUT IAG PROCESSING
(REGIONS)
ORIGINATION PHASE
Other
Agency
Initiate
IAG
Develop and
Negotiate
Terms of IAG
Accept and
SignlAG
Obli
Fur
gate
ids
Regional
Originating
Office
Initiate
IAG
4
Develop and
Negotiate
Terms of IAG
' X
Assemble
IAG
Package
4
Establish
Originating
Office File
•
Submit
Change
Request
File
IAG in
Originating
Office File
'
<
1
RAAU
u_ '
fe
Review IAG
Package;
Submit to RA
for Signauure
L
Establish
Official
File
^
Obtain Other
Agency's
Signature
(
Distribute
Signed IAG
^
GAD
(Headquarters)
Provide IAG ID
_~ Number; Input
Data into GICS
Enter IAG
fr- Information in
GICS
BD,OC
(Headquarters)
Approve Use of
Mechanism
Reprogram
Funds to
Transfer Reserve
FMD.OC
Reduce Budget
FMS
4.VI-5
-------
SEPT.1988
Figure 4-17
TRANSFER-OUT IAG PROCESSING
(REGIONS)
EXECUTION PHASE
Other
Agency
Perform
Services
Outlined in
IAG
+ '
Submit
Periodic
Progress
Reports
+
Submit Outlay
Projections and
Plans
i
Approve Bills
for Payment of
Expenses
^"
Accept and
Sign IAG
Amendments)
Regional
Originating
Office
Pro
_» Proj
w Mana
Ova
r
\.
<
vide
gram
$ement
rsight
4
r
Initiate
IAG
Amendments
File
Amendments)
in Program Site
File(s)
RAAU
-+
Provide
Administrative
Oversight
Process
IAG
Amendments
|
i
r
Distribute
Signed IAG
• Amendments)
4
OIG
Request Other
Agency's IG to
"^ Audit IAG
(upon request)
.-
GAD
(Headquarters)
Provide ED
Numbers);
-^ Enter Data into
GICS
Update
_^ Information
into GICS
"
BD.OC
(Headquarters)
Process
Transfer of
Treasury Dept.
Process
Transfer of
Funds, if
applicable
t
4.VI-6
-------
SEPT. 1988
Figure 4-18
TRANSFER-OUT IAG PROCESSING
(REGIONS)
CLOSEOUT PHASE
Other
Agency
Submit
Final
Report
AsklGto
Determine
Financial
Status
|
Accept
Closeout Letter
and Respond (if
appropriate)
Return Unused
Obligational
Authority
^
Regional
Originating
Office
Manage
-^ Pre-closeout
Activity
X
Initiate
Closeout
Procedures
'
J
*
Complete
Originating
Office File
RAAU
Determine
Status
Send Closixmt
_^ Documents to _
& Headquarters
Complete
Official,
File
GAD
(Headquarters)
i
Enter Closeout
Information
into GICS
OIG
Determine
Status
BD.OC
(Headquarters)
Recover
_^ Unused
Obligational
Authority
4.VI-7
-------
-------
SEPT. 1988 ,
ATTACHMENT 4-C
Excerpts Emm n»rp circular A-34
(August 26, 1985)
srS:">r ;°n '
-------
SEPT. 1988
ATTACHMENT 4-C (cont.)
In the case where turn receiving agency is requasted to report on
transfers directly to OMB on the S.S. 133, the amount transferred into the
allocation account will oe reported on line 10 or 28, as appropriate, and tne
apportionments will be tne portion of the consolidated apportionment designated
by tne administering agency. Likewise, if an S.F. 133 of tne parent account is
required to include the related transfer accounts In reports to OMB, the amount
transferred out will be reported on line 10 or 28 and the apportionments shown
will exclude the amount assigned to and reported by other agencies.
In eases where an agency receives transfers from a single parent
account through more than one channel (e.g.. a direct allocation from tne
parent account and a suballocation from another agency), the receiving agency
should keep such internal records as will enable it to report separately the
transactions relating to eaen of tne channels tnrougn which tne transfers were
received.
In reconciling amounts on the S.F. 133 with amounts shown in tne
Budget Append1x or witn amounts shown m Treasury reports, the following
differences must be recognized:
— The schedules in the Budget Appendix present consolidated infor-
mation normally covering all Treasury accounts (annual.
multiple-year, and no-year accounts) with the same account title.
wh j1e each account 1s norma11y presented on a separate S.F. 133.
CMS Circular No. A-n requires that annual data for allocation
accounts be reported by the parent account for budget formulation
purposes. Under most circumstances, the sum of the data on all
the S.F. 133s with the same account title will be the same as the
data in tne Budoet Appendix because in this Circular, the general
rule is that the agency responsible for administering the parent
account will submit S.F. 132s and monthly S.F. 133s covering both
. the parent account and all allocations free) it. unless
specifically requested to do otherwise by OMB.
-- Treasury, on tne other hand, requires agencies receiving
allocations to submit quarterly allocation data (e.g.,
obligations data for the S.F. 22S) directly to Treasury--not.
through the parent agency.
•1.9 Transfer* for thm
tvlng
Transfers without benefit to the transferring account, decrease the funds
available for obligation or expenditure under one account symbol and increase
the amount available under the other. They are generally treated as
nonexpendlture transactions. (The exceptions are transfers for tne purposes of
the receiving accounts where the accounts are in two different mam fund
group*, see section ai.2.) The transactlona included in this category are:
(a) Reorganization transfer*. These are transfers resulting from
reorganization* in which activities and the related funds are transferred to
different departmenta. agencies, bureaus, or accounts.
(b) Change* In appropriation pattern. These are tranafer* that result
from consolidations or mergers of appropriations and funds.
(e) Redistribution of appropriation* or balance*. These include the
administrative exercise of general statutory authority, for example, authority
provided to tne head of an agency to transfer funda for a specific purpose such
as fighting forest fires, to finance additional funding requirements such as
pay. or within a fixed percentage or sum specified by law.
In these caaea. the amounts so withdrawn and credited will be reflected on
the S.F. 132 and S.F. 133 on line 10. if the transfer is mad* in the same year
as the fund* are mede available. If the tranefar involves unobligated
balances, then tne amounts wilt be reflected on line 2B of the S.F. 132 or S.F.
133. See Parts IV and V for further instruction* on reporting such amount* on
the S.F. 132 and S.F. 133.
4.VI-9
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SEPT. 1988
ATTACHMENT 4-C (cont.)
In addition, • similar adjustment of budgetary resources occurs whan a
financing transaction takes place in w.ncn a feeder account provides capital
for a public enterprise fund. Since for ijurposes of the reports required under
this Circular the feeder and receiving .accounts are combined, the adjustments
are not reported on the S.F. 132 and S.F. 133.
S1.4 Ti
ry charges and credits be>tw»m accounts.
Section 1534 of Title 31 of the United States Code authorizes, under certain
circumstances, temporary transfers (1.0.. charges to be made against an
appropriation temporarily) with an accounting adjustment to the appropriation
finally to be Charged with the outlay. Ail charges during the fiscal year must
be adjusted as of the close of the fiscal year. The adjustment will be
accounted for m the same manner as a refund by the appropriation originally
charged. Obligations incurred by the appropriation finally to be charged with
the outlay must be identical with credits in the account originally charged.
•7.2 Interagency allocations.
All movements of obligation*! authority from appropriations mad* to the
President, and all subsequent intaragency distributions of suen authority, will
be made by the use of transfar appropriation (allocation) accounts, so that
amounts can be readily identified with trm parent appropriation. Agencies that
receive allocations from appropriation! made to the President nay make
subailocations to other agencies.
Where an agency receives allocations from a single parent account through
more than one channel (for instance, a direct allocation from the parent
account and a suballocation from another agency), the receiving agency must
maintain records which will enable it to control and report separately the
transactions relating to each allocation or suballocation.
4.VI-10
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SEPT. 1988
APPENDIX A
Completion of the IAG Package
This appendix contains a collection of information to
help make the assembly of the TAG package an automatic
process. This appendix includes:
EPA Form 1610-1 (Rev. 5-88) with the instructions
that appear on the back of the form
" . Guidance, prepared by the GAD, to provide
originating offices with sufficient information
to complete the IAG form without errors
Additional guidance for completing the IAG package
An example of a "special conditions" attachment
Several examples of docision memoranda.
Questions regarding information in this appendix
should be directed to the GIAB, GAD at FTS 475-8270.
4.A-1
-------
-------
SEPT. 1988
EPA Form 1610-1
United States Environmental Protection Agency
Washington, DC 20460
Inieragency Agreement/
Amendment
Part 1 - General Information
6. Nam* and Address of EPA Organization
I. EPA IAQ Identification Number
4. Funding Location by
Region
. Other Agency IAQ ID Number (it known)
I. Type of Action
S. Program Office
Abbreviation
I'. Name and Address of Otter Agency
8, Project Title
9. EPA Project Officer (Name. Address. Telephone Number)
11. Project Period
10. Older Agency Project Officer (Name, Address, Telephone Number)
12. Budget Period
13. Scope of Work (Attach additional sheets, as needed)
14. Statutory Authority tor Both Transfer of Funds and Project Activities
Funds
16. EPA Amount
17. £PA In-Kind Amount
18. Other Agency Amount
19. Other Agency In-Kind Amount
20. Total Project Cost
Previous Amount
Amount This Action
15. Other Agency Type
Amended Total
21. Steal Information
'rogram Bement
FY
Appropriation
Doe. Control No.
Account Number
Object
Class
Obligation/Oeobligation Ami
EPA Form 1610-1 (Rev. 5-M) Previous editions are obsolete.
Page ) of 5
4.A-2
-------
SEPT. 1988
EPA Form 1610-1 (cont.)
Part II • Approved Budget
EPA IAG Identification NunttMr
22. Budget Categories
homfzatlon of
This Action
ItemiiBtiori ol Total Project
Estimated Cost to Date
(a) Personnel
(b) firing* BeiieOu
(c) Travel
(d) Equipment
(a) Supplies
(f) Procurement/Assistance
(g) Construction
(Mother
(i) Total Direct Charges
0) Indirect Com: Rate
M Totu
(EPA Share
%) (Other Agency Share
23. Is equipment authorized to be furnished by EPA or leased, purchased,
(Identity all equipment costing f i ,000 or more)
or rtntM wrtn EPA fund*?
my of mm* runa* omny uatxi on
- D
No
Typ* of Extramural />flr««m«m
|Coop«fativ»Aap
..D
Procurement (Include* Small Purchase Order)
Total ExSimural Amount Under This Project [ Percent Funded by EPA (if known)
Pirt III - Funding Matheds and BIIMna Instnictlons
fj RmdaOmAorawnant (Not*: EPA Agtftcy Location Cod* (ALC) - 68010727)
I [plaburaamontAoimiunt
D
D
Fbquaot tor rapaymant of actual ootttmuatb* ttamiMd on SF 1«1 or SF 1080 and »ubmrt»el to th«
RnancM Managanmtt C«nar. EPA, Oneifina«, OH 4S26S:
D
D
Quaitarty
D
Upon Comptoton of Wortc
Advanea
Only available (or ua« by
il agencie* on working capital fund or with appropriate justification of
need tor thla type of payment method. Unexpended funds at completion ot work will be returned to
b* forwarded to the Financial Management Canter, EPA, Cincinnati,
EPA, Quarterly coat report* will
OH 45268.
Used to transfer obMgattonal
M««W •>•!••••>• i •! ks«* Mha* OMlMA
r~~l »i^— ^» ee o treneer ogaxia autoty or tfanter o uncton Between eera ag
T ^2-?X . P"" approval by mo Office of me Comptroller. Budget OMaion. Budget For
l___) Tranater-tMt Branch, EPA Headquarter*, •forward appropriate reporta to the Financial n
Braneh, Rnaneial Management Civilian. PM-226F, EPA, Wajnington, DC 20460.
authority or tfantfer ot function Between Federal agenciea. Mutt receive
of me Comptroller. Budget OMaion. Budget Formulation and Control
•forward appropriate reporta to the Financial nepora and Anaiy&i*
ivi PM-F 4
28.
| [
niMfiVln JtafMtTUflt fma^
I «*•!«• V «« *^§* ——• •»• •» I
I I Reimbursement Agreement I—
Allocation Tf anrter^n
Advanot
Other Agency'* IAQ Identificatton Number
EPA Program Office
ir/Reapontibility Canter Numeer
Olner Agency'» Billing AddreM f/ne/uo» Agency location Coa»
or Station SymSei Number)
Other Agency'* Billing Instructions and Frequency
EPA Form 1810-1 (Rev.
Page 2 ot 5
4.A-3
-------
SEPT. 1988
EPA Form 1610-1 (cont.)
Part IV - Acceptance Conditions
EPA IAG kJ«mrftaaSon NumMr
27. Oanaral CondWona
The other agency covenants and agrees that It will expodttiously initiate and complete the protect for which funds
have been awarded under this agreement
Part V - Offer and Acceptance
Not*: 1) For Funds-out actions, the agreement/amendmi mt must be signed by the other agency official In duplicate
and one original returned to the Grants Administration Division for Headquarters agreements or to the
appropriate EPA Regional IAG administration office within 3 calendar weeks after receipt or within any
extension of time as may be granted by EPA. The agreement/amendment must be forwarded to the
address cited In Item 29 after acceptance signature.
Receipt of a written refusal or faflure to return Die property executed document within the prescribed time
. may result In the withdrawal of the offer by EPA. Any change to the agreement by the other agency
subsequent to the document being signed by tf« EPA Action Official, which the Action Official determines
to materially alter the agreement/amendment, shall void the agreement/amendment
2) For Funds-ln actions, the other agency wBI initiate the action and forward two original
agreements/amendments to the appropriate EPA program office for signature. The
agreements/amendments will then be forward ad to the appropriate EPA IAG administration office for
acceptance signature on behalf of the EPA. One original copy wttl be returned to the other agency after
acceptance.
EPAIAQ AdmintoMtten OfHoa (tor adminlttrattv*
29. Qrganttatton/Addfwa
EPA Program QHtoa (lot taennleal mittand)
30, Organization/Addreta
Certification
certify that the statements made on this form and all attachments thereto are true, accurate, and
Signers acknowledge that any knowingly fafeie or misleading statement may be punishable by fine or
or both under applicable law.
Oaelatoii Official on B«<^f of tt>« Em titx»m«otalPrel«
-------
SEPT. 1988
EPA Form 1610-1 (cont.)
Instructions
This form is to be used for all Funds-Out interagency
agreements. It may be used for Funds-In interagency
agreements if the other funding agency agrees to do so. It
may not be used for policy agreements. However, if the
other agency's instrument is used, it and any attachments
thereto must reflect all the information contained in this
form.
This form is to be used in conjunction with the Assistance
Administration Manual and any other supplemental in-
formation.
1. The original agreement identification number will be
assigned by the 1AG administration/management office
servicing the EPA program office initiating the action. If
the original project is amended, cite only the first 10 char-
acters of the original agreement number (e.g,
DW81931013). The servicing LAG administration/man-
agement office will assign the amendment designator (e.g»
•1>.
Z Enter the other agency's LAG identification number (if
known).
3. Identify the purpose of this action using one of the fol-
lowing terms!
New Agreement
Increase in Funds
Decrease in Funds
Administrative Amendment
"Administrative amendment" is used to identify project,
period extensions, project officer changes, nxnal condi-
tion changes, febudgcting of funds, etc.
The four terms above are listed in order of priority, there-
fore, should an action involve multiple changes use the
first term that appropriately identifies one of the changes.
4. Identify the regional location of the EPA program of-
fice disbursing/receiving funds (e*. projects funded by
EPA Headquarters and ORD laboratories will cite Re-
gion XI).
5. Enter the EPA GICS abbreviation for the program of-
fice. This should be at the Office Director or comparable
level (e*. OERR/HQ). except for EPA ORD laborato-
ries (e*. ERUDUL).
6. Enter "Environmental Protection Agency" followed by •
the name and mailing address of the EPA organization
responsible for technical management of the project
EPA offices should be identified at the Office Director or
comparable level for Headquarters or the appropriate Re-
gional Office.
7. Enter the name and mailing address of the other
agency. Identify the Department and the appropriate or-
ganizational components within the Department (e.g,
DHHS. PHS. Center for Disease Control).
Note Use the appropriate Department of Energy area of-
fice for agreements with a DOE National Laboratory.
8. Enter project title. Be concise and use only the space
provided. If Superfund site specific, include site location
(e«. city and State).
9. Enter the EPA Project Officer name, EPA mailing ad-
dress, and telephone number.
10. Enter the other agency project officer name, other
agency mailing address, and telephone number.
11. Enter beginning and ending dates of entire period ex-
pected to be needed to complete the project. This period
of time should not be longer than S years. For projects
requiring more than S years, appropriate justification
must be submitted in the decision memorandum.
12. Enter the period of time this transaction will fund
project activities. (Note budget period cannot exceed the
period of oppnpnaoon.)
13. Provide a complete description of the project work to
be performed under the agreement In jointly funded pro-
jects, the scope of work should describe specific responsi-
bilities of the participating agencies, not just the portion
funded by EPA. Additional pages should be attached as
necessary.
14. Enter both the appropriate statutory authority that
authorizes the interagency agreement mechanism and the
appropriate statutory authority that authorizes project ac-
tivities.
When entering into Funds-Out agreements with Federal
agencies, cite (1) Economy Act of 1932. as amended (31
USC 1535) and/or other independent program authority
and (2) the statutory authority that authorizes the project
activities (e.g* dean Water Act).
When entering into Funds-In agreements with State and
local governments, cite (1) Intergovernmental Coopera-
tion Act of 1968 (31 USC 6505) and. to the extent that the
agreement involves contractor services, also cite appropri-
ate cooperation authorities and (2) the statutory authority
that authorizes the project activities.
For Funds-In agreements with Federal agencies, cite (1)
Economy Act of 1932. as amended (31 USC 1535) and/or
other independent program authority and (2) the other
agency's statutory authority authorizing the project activi-
ties.
EPA Form 1610-1 (Rev. 5-88)
Page 4 of 5
4.A-5
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SEPT. 1988
- EPA Form IfrlO-l (cont.)
15. Identity (he other agency using one of the following
terms:
•Federal
State (includes District of Columbia, territories!,
and possessions of the US.)
Local (includes general local government, i
school district, or other special district
established under State law)
16. For original agreements enter EPA "Amount This Ac •
tion." For amendments, enter the EPA "Previou!
Amount." "Amount This Action," and "Amended Total."
17. An inkind amount is anything other than a monetary
exchange (e^., equipment, personnel, etc). A fair dollar
amount should be assigned to the nonmonctary exchange
and entered for original agreements. For amendments
enter the EPA "Previous Amount," "Amount This Ac-
tion," and "Amended Total."
18. Identify the other agency's funds. This should be used
when a project is jointly funded or when EPA is receiving
funds. For original agreements, enter other agency's
"Amount This Action." For amendments, enter the other
agency's "Previous Amount." "Amount This Action," and
"Amended Total."
19. A fair dollar amount should be assigned to the non-
monetary exchange and entered for original agreements.
For amendments enter the "Previous Amount.'' "Amount
This Action." and "Amended TotaL"
20. Enter the total amount for all categories.
2L Enter the appropriate fiscal information identifying
the funds being used. In the case of a reimbursement
agreement the EPA reimbursable account number will
appear under "Account Number."
22(a-i). For original agreements, enter the total funded
project costs according to the categories provided, and in-
clude the other agency's contribution as well. For amend-
ments increasing funds itemize this action, add the addi-
tional funds by category and enter the revised itemization
to date. This will reflect total direct charges. Amend-
ments decreasing funds should be done in a similar man-
ner.
(j). Identify how indirect costs are computed. Enter a
percentage and a base amount or a comparable state-
ment reflecting how indirect costs were computed. If
applicable, include appropriate certification of indi-
rect cost rate statement in Item 28, "Special Condi-
tions."
(k). Enter the total amount of this action and total
EPA Form 1610-1 (Rev. 5-88)
project amount to date. Indicate EPA share and
other agency share by summing total cost to date and
dividing into the amount provided by one agency to
arrive at that agency's share (e.g.. £60,000 EPA share
divided by $100,000 total project cost to date to arrive
at 60% EPA share).
23. The agency funding the equipment acquisition shall be
responsible for maintaining an inventory of the property.
All nonexpendable equipment (items costing S 1.000 or
more) to be furnished, leased, purchased, or rented shall
be identified and the appropriate property management
office consulted. Any pioperty management/disposition
provisions should appear in Item 28. "Special Condi-
tions."
24. If any of the funds are to be used on extramural agree-
ments, enter identifying information. The amount en-
tered here must agree with the amount entered in item
22(f). above.
25. For Funds-Out agreements, identify the funding
method utilized for the agreement
26. For Funds-In agreements, enter all pertinent informa-
tion including that needed in order for EPA to properly
receive funds from the other agency (e.g., other agency
form number, appropriate number of copies, complete
mailing address, etc).
27. Self explanatory.
28. Enter any special conditions applicable to the technical
management of the project (e^, reports, property man-
agement, etc). The servicing 1AG administration/man-
agement office will provide the appropriate administrative
special conditions. If applicable, include appropriate certi-
fication of indirect cost rate statement
29. Enter the appropriate 1AG administration/manage-
ment office address (Headquarters or Regional) servicing
your program. This will be the return address for original
signed acceptances of interagency agreements/amend-
ments, therefore, use the complete mailing address of
your IAG administration/management office.
30. Enter the complete address of the EPA program office
funding the agrc
31. Enter the name and title of the EPA Decision Official
for the EPA program office.
32. Enter the name and tide of the appropriate EPA Ac-
tion Official (e£. Chief, Grants Information and Analysis
Branch, Grants Administration Division for Headquar-
ters and Regional Administrator or designee for Re-
gions).
33. Enter the name and title of the other agency's autho-
rizing official.
Page 5 of5
4.A-6
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SEPT. 1988
IAG PACKAGE GUIDANCE
A. EPA is Funding (Funds-Out IAG, "DW" prefix)
The following numbers correspond to the numbered
items on the 1610 form revised 5-88.
1. The IAG number-iwi 11 be assigned by the GAD (leave
blank)..
2. For Funds-Out agreements (leave blank). The other
agency may add its ID number when.it reviews and
accepts the agreement.
3. See instructions on page 4 of 1610. Increases or
decreases in funds are not administrative amendments.
4. Headquarters agreements are designated Region XI.
Regional Office lAGs show appropriate region.
5. Corresponds with the EPA organization in item 6.
6. Self-explanatory.
7. Identify primary agency (e.g., not just sub-agency).
8. The title should briefly describe the IAG project
purpose, and be long enoucfh to distinguish one IAG
from another. Very short: titles may fail to provide
this.
9. Should be complete, including project officer's phone
number.
10 . Same as; 89 .
11. Established by program office, as appropriate.
12. The budget period always eguals or falls within the
project period. Also, the budget period is tied to
the appropriation, i.e., one-year funds are limited
by the fiscal year in which they are available.
However, if the project period begins later than the
start of the fiscal year, those funds are available
at the start of the IAG project period, not the start
of the fiscal year. Similarly, the budget period
cannot extend beyond,the IAG project completion date.
13. The scope of work (responsibilities and deliverables)
should be reasonably clear and comprehensive.
Occasional problems arise when the scope of work is
not described in sufficient detail, e.g., if a final
report 'is reguired, it should be stipulated in 813
and/or 828.
4.A-7
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SEPT. 1988
22
14. Self-explanatory.
15, Self-explanatory.
16. Through 20. self-explanatory. For a new agreement,
only "AMOUNT THIS ACTION" (center column) should be
used.
21. If EPA is funding the agreement, all blocks are to be
completed. Except for the Program Element Code, all
of this information is on the Commitment Notice (EPA
Form 2550-9), Object Class 25.70 is no longer used
. for lAGs. Use Object Classes 25.71 through 25.79, as
appropriate. For amendment actions,
"Obligation/Deobligation Amt" is the amount being
funded in this action only. If the other agency is
funding, GAD/RAAU will add the reimbursable account
number and PE code.
This part of the agreement is the most subject to
error. Two points should be kept in mind:
For amendments, the breakdown here should show
both budget costs for the amendment and total
project costs to date.
If all funding will be on a contract, grant or
cooperative agreement, then all funds should be
shown in item 22.f, i and k. No further
breakdown is necessary.
23. If "Yes", identify all eguipment costing $1,000 or
more involving EPA funds.
24. The amount in the center block of this item must
agree with the entry in 22(f) above, whether it is
all or part of the total IAG project funding. For a
new agreement, the contractor may not have been
selected, and cannot be identified. However,
subseguent amendment actions involving procurement
should identify the contractor(s).
25. This item is to be used only if EPA is funding the
•agreement. Please note that the address of the EPA
Financial Management Office appears twice. It is not
appropriate to type it again in item 26, as is often
done. See next item.
26. This item is to be used only when the other agency is
funding the agreement. (Funds-In).
27. Pre-printed.
4.A-8
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SEPT. 1988
28. As required by program office.' Similar caution is
advisabl'e here as expressed in item 13'.
29. 'Correct address for HQ and Labs agreements and copies
of Regional' agreements:
Grants Information and Am.lysis Branch
Grants Administration Division (PM-216F)
U.S. Environmental Protection Agency
401. M Street, S.W. ' . ' •
Washington, D.C. 20460
«• > 4
30. Self-explanatory.
31. Self-explanatory.
32. Self-explanatory. Please note:' For EPA Action
Official. EPA Decision Official should not sign in
this block. For HQ and Labs lAGs, type in the name
of the Chief of GIAB.
33.. Reserved; for the Other Agency Authorizing Official.
If other agency is paying and has elected to use the
EPA 1610 form as the sole IAG document, this-item
should be signed prior to submittal to GAD or RAAU.
B. Other Agency is Funding (Funds-In IAG, "RW" prefix)
If another agency is providing funds to EPA for goods
and/or services (Funds-In), EPA policy requires that the
proposal come to EPA with other agency original signatures
on at least two copies. Original signatures from the
other agency show that a bonafide proposal has been
received, i.e. funds have been committed by the other
agency for the proposed project. The EPA decision
official should then sign at least two copies prior to .its
being forwarded to GIAB/GAD or.RAAU. The EPA decision
official signature indicates approval and acceptance on
behalf of the EPA program office. Finally, the signature
of the EPA action official (Chief, GIAB, or RA) indicates
acceptance and legal obligation on behalf of EPA. Two
copies of the agreement allow both agencies to have one
original signature copy of the IAG document. If the other
agency requires additional.copies to be signed by EPA and
returned, that agency should provide the necessary
additional copies.
'The other agency usually has its own agreement form.
If that form does not provide EPA with enough information
to meet EPA (Form 1610) requirements, then that
information must'be added before EPA can accept it. The
EPA program office is strongly encouraged to complete the
1610 form for use solely as an attachment, requiring no
signatures. Also, the other agency may elect to use the
4.A-9
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SEPT. 1988
1610 form as the only IAG document. This is acceptable as
long as that agency's authorizing signature is in place
(item 33) when received by EPA.
One of the first actions by GAD/RAAU, upon receiving
the proposal from the program office,, is to request a
reimbursable account number from CFMC. This will permit
the Comptroller's office to verify issuance of the
necessary Advice of Allowance. The -Advice of Allowance
provides funds for the program office to start work on the
agreement prior to the time that the other agency begins
paying bills. Bills are normally sent to the other agency
for repayment of costs incurred.
It is not appropriate for EPA to "accept" a Funds-In
IAG which is not signed first by the other agency. In
fact, with an unsigned IAG, there is nothing, for EPA to
' accept. Even if the EPA.action official does sign such an
IAG, no Advice of Allowance can be issued .by the OC until
the agreement is signed and returned by the other agency.
In the event that the other agency were to revise its
priorities and decide not to proceed with (i.e., not to
fund) the project, that other agency would be within its
rights. Until both signatures are in place, no agreement
exists.
C.• Developing the Scope of Work (Item 13)
The scope of work should be clear and comprehensive.
It should include responsibilities and deliverables
associated with the agreement. Occasional problems arise
when the scope of work is not described in sufficient
detail, e.g., if a final report is required, it should be
stipulated in t»13 or »28.
D. • Developing the Budget (Item 22)
This part of the agreement is most subject to error.
Two points should be kept in mind:
For amendments, the breakdown here should show
both budget costs for the amendment and total
prolect costs to date.
If all funding will be on a contract, grant or
cooperative agreement, then all funds should be
shown in items 22.f, i and k. No further
breakdown is necessary. Note: Item 24
information should agree/complement this item.
2. Developing Special Conditions (Item 28)
Since lAGs are loosely regulated instruments, the
"special conditions" section of the agreement is used to
4.A-10
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SEPT. 1988
require items, not covered in another area of the
agreement, such as billing, reporting, project-specific,
and payment conditions. This isection is especially
important for Superfund agreements to request cost
documentation, site filing, and adequate reporting from
the other agency involved in the IAG. Following this
section is a sample attachment used for the special
conditions section of a model Superfund IAG.
In accordance with Comptroller Policy Announcement
87-10 (Feb. 10, 1987) on certification of indirect cost
rates, the special conditions section for a Funds-Out IAG
must include whichever of the ;:ollowing statements that
applies:
"[The performing agency] certiifies: 1) that any indirect
costs included in billings to 1CPA represent, in accordance
with GAO principles, indirect costs that would not have
been otherwise incurred by the performing agency, or 2)
that statutory authority exists; for charging other than
the incremental costs of performance. If an audit
determines that any direct or indirect costs charged to
EPA are unallowable, EPA will be notified immediately
following the resolution of tho audit and EPA will be
credited for those costs."
or ,
"Within 30 days of the signing of this agreement, [the
performing agency] will request the Inspector General or
other internal auditors to review the indirect cost rate
to be included in billings to ISPA to ensure: 1) that any
indirect costs included in bilXings to EPA represent, in
accordance with GAO principles, indirect costs that would
not have been otherwise incurrod by the performing agency,
or 2) that statutory authority exists for charging other
than the incremental costs of performance. If an audit
determines that any direct or indirect costs charged to
EPA are unallowable, EPA will be notified immediately
following the. resolution of th« audit and EPA will be
credited for those costs."
Address any questions concerning this requirement and
other issues of a policy nature to the GAD or RAAU.
F. Preparing^the,_Deci s ion Memorandum
1. What to include in the decision memorandum
a. Identify and summarize EPA objectives which are
facilitated by the proposed project and indicate EPA
authority for entering th« agreement
4.A--11
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SSPT. 1988
b. Identify the statute and section requiring the
other agency to perform the activity, when a statute
mandates a specific agency to carry out an IAG
c. Funds-Outonly. Summarize alternatives other
than the IAG mechanism that were considered (e.g.
commercial sources)
d. Verify that EPA quality assurance guidelines are
being followed, if applicable (See Chapter 3 - Quality
Assurance)
• e. Indicate whether any subagreements will be used
and that both agencies have statutory authority for
such agreements
f. Provide rationale and justification for selecting
the proposed agency
2. What to do if it is necessary to have an IAG project
period which begins prior to execution of the IAG:
When valid reasons, such as unplanned delays in
funding availability, for an IAG project period beginning
before the date of execution exist, the decision memo must
explain these reasons, discuss activities conducted prior
to execution of the IAG, and include a statement that an
EPA representative authorized the activities to be
conducted before execution of the IAG. Following
evaluation and acceptance of the justification, the Action
Official may execute the IAG on behalf of EPA with project
period dates prior to the date of execution.
3. Examples of clearly organized decision memoranda
The following examples of decision memoranda are
included to assist the originating offices in developing
organized and complete decision memoranda. There are four
sample formats, which may be used for any type of
agreement. The last example is a generic decision
memorandum for a Superfund agreement.
G. Amendments
IAG amendments should be used for changes in: scope of
work, project period, project budget, funding terms, and
other major provisions, e.g., equipment procurement,
subagreements, special conditions. It is not necessary to
use an amendment to correct mistakes made when preparing
the IAG form. A letter to the other agency from the
appropriate EPA office (GAD or RAAU) correcting the
mistake is sufficient.
4.A-12
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SEPT. 1988
Sample Superfund Special Conditions
DW69
1. Cost Documentation Requirements
EPA acting as manager of the Hazardous Substances Superfund requires
current Information on CERCLA response actions and related obligations
of CERCLA funds for these actions. In addition, CERCLA, as amended by
SARA, authorizes EPA to recover from responsible parties all government
costs Incurred during a response action. In order to help assure .over-
sight and successful recovery of CE!RCLA funds, both the USCG and EPA
have responsibilities under this agreement. The USCG accounting
system reports must be supported by site specific documentation. The
USCG will organize and retain for ten years after the completion of
the project or until transferred to EPA for permanent retention site-
specific documentation (e.g., vouchers, billing statements, evidence of
payment, audit reports) of costs as. follows:
(a) Internal Direct Costs
-• • "Payroll - USCG personnel hours and- standard personnel cost records
signed by senior on-slte USCG representative
"Travel •- USCG personnel travel «md per diem expenses ( travel authori-
zations, local travel vouchers, traveler's reimbursement
vouchers, carrier bill!; (including airline tickets) governient
owned vehicle bills, and all appropriate hotel, car rental, etc.,
receipts.
"Receipts for: purchase of materials, equipment and supplies
"Sample collection and analysis costs
"Standard costs for the use of USCG equipment, vessels, aircraft or
vehicles used in support of a response
"Any other direct costs associated with the removal action and not
Included In the above categories
(b) Indirect Cost Documentation
Indirect Cost Documentation Standards - The USCG certifies: 1) that any
Indirect costs. Included 1n billing;; to EPA represent, In accordance with
GAO principles, Indirect costs thai: would not have been otherwise Incurred
. .by the USCG, or 2) that explicit congressional authority exists for
charging other than the Incremental costs of performance. If an audit
determines that any direct or Indirect costs charged to EPA are unallow-
able, EPA will be notified Immediately following the resolution of the
audit and EPA will be credited with those costs.
4.A-13
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SEPT. 1988
Sample Superfund Special Conditions (cont.)
2. In the event of a cost recovery action, within three weeks from the date
of of a request from EPA OP the Department of Justice (OOJ), the USCG
will, provide to EPA or OOJ site specific.costs and copies of the back up
documentation which support those costs. The USCG will provide EPA
with a contact for obtaining such site specific accounting information and
documentation. This cost information and documentation must also be
available for audit or verification on request of the Inspector General.
3. Reporting Requirements
(a) The USCG will provide a summary report of the responding units'
out-of-pocket expenses to be reimbursed via this agreement to the
regional project officer 60 days after the project ends.
(b) The EPA Federal On-Scene Coordinator, will verify the USCG out-of-
pocket expenses and prepare a report which summarizes the USCG
activities reimbursable via this agreement. Reports must be submitted
to the Regional Project Officer 60 days after the project ends.
(c) The EPA Federal On-Scene Coordinator will verify out-of-pocket
expenses for federal forces responding to the incident.
4. Billing Requirenents
(a) The USCG will provide the EPA with a completed and signed SF 1080
(Request for Reimbursement) containining as appropriate:
°USCG costs by budget category (see Item 21, page 2) identified by
the site, site specific account number and IAG number
(b) USCG will subnit the SF 1080 within 90 days after the completion of
the project to: USEPA, Financial Management Center, 26 West St. Clalr
Street, Cincinnati, Ohio 45268
5. USEPA Involvement
USEPA's substantial involvement in this IAG will include:
(a) Reimbursement to the USCG contingent upon certification of the SF 1080
by the OSC.
(b) Retention of title to all property acquired with Superfund Trust Funds.
EPA will provide USCG with property disposition instructions upon comple-
tion of the project.
4.A-14
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SEPT. 1988
Sample Decision Memorandum - 1
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
ENVIRONMENTAL RESEARCH LABORATORY
ZOO S.W. 3S1H STREET
CORVALUS. OREGON 97333
APR 1 5 "1S35
SUBJECT:
FROM
TO
THROUGH:
Approval of Proposed IAG with U.S.
Department of Energy - Oak Ridge
National Laboratory .
*. It
vv"H
Thomas A. Murphy -*1 - - " •' ^ '
Direector -
'Courtney Rlordan, Director —
/ Office of Acid Deposition, £',.iyt¥onment«
Monitoring and Quality Assurance (RD-680/
Erich W. Bretchaoer, Dlrectoi:
Office of Environmental Processes
and Effects Research (RD-6U2)
Attached for your approval is a funding package for a proposed inter-
agency agreement with the Department of Energy (DOE), Oak Ridge
National Laboratory - Environmental Sciences Division, titled "National
Surface Water Survey: Data Management: for the National Stream Survey."
The total estimated cost over the two year project period is $626,000.
The purpose of the data management component of the National Stream
Survey is to provide support to EPA 1) to assemble and store data
generated as part of the survey, 2) t:o provide preliminary reports of
survey results, 3) to establish a validated data base for analysis,
and 4) ttj perform preliminary statistical analysis and evaluation of
the data. The data base system will provide an organized data storage
and retrieval capability for water chemistry and. related data collected
in the survey. 'The data management system Includes the important
capabilities of generating error-checking reports, extracting data
subsets in formats usable by statistical and graphical display programs,
providing "crosslinks" among the various ways of identifying survey
sites, and responding quickly .to ad hoc queries from EPA staff.
Your early action in approving this agreement is appreciated. If .you
have any questions regarding the LAC package, please call me FTS 420-4601
Charles^ Cono^r.xfll rector, PSD/OIRM/OARH
-^ ^/
85/06/21
4.A-15
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SEPT. 1988
Sample Decision Memorandum - 1 (cont.)
ENVIRONMENTAL PROTEC JN AGENCY
RCSKARCH LA0ORATORY-CORVALI.IS
Decision Memorandum, Proposed IAG Between
SUW.CT EPA and Oak Ridge National Laboratory
fr
FROM
Raymond G. Wilhgur, Chief
Air Pollution Effects Branch
OATK March 29. 1985
T0 Thomas A. Murphy
Director
Objectives
The proposed research objectives are as follows:
1. Assemble and store data generated as part of Phase I of the National
Stream Survey (National Surface Water Survey) and the associated
Phase I-Pilot Survey.
2. Provide basic data.reports of the Phase I and Phase I-Pilot Surveys.
3. Establish a validated database suitable for subsequent analyses.
4. Perform initial statistical analysis and evaluation of the Phase I-
Pilot Survey and, Phase I data.
Explanation of Selecting the IAG Mechanism
ORNL has demonstrated the expertise required for the extensive data manage-
ment activities associated with Phase I of the National Stream Survey during
Phase I of the National Lake Survey, the sister activity of the National
Surface Water Survey. The computer facilities and equipment at ORNL are
ideally suited for these activities; the principal investigators have broad
experience in designing data management programs for large data sets of
environmental variables and they have developed specific expertise in the
types of problems likely to arise in storm and manipulating the Stream Survey
data. Based on these criteria, ORNL was considered the best possible insti-
tution to perform the data management, and an [AG appears to be an appropriate
funding mechanism.
Relationship of This Project to the Program's Mission
The National Acid Precipitation Program requires an assessment of the aquatic
effects of acid precipitation. The National Surface Water Survey (NSWS) has
been designed to assist in this assessment. Phase I of the National Stream
Survey (NSS) includes a Pilot Survey of approximately 60 streams in the southern
Blue Ridge in 1985, and the full Phase [ effort which will survey approximately
500 streams in the Northeast and Southeast in 1986. Phase I of the survey will
estimate the length, area, and numbers of stream reaches within regions sensi-
tive to acidic deposition that have: 1) low alkalinity and are therefore
potentially sensitive, or 2} are presently acidic. Since decisions critical
to the success of the NAPAP assessment and other programs will be based on
4.A-16
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SEPT. 1988
Sample Decision Memorandum - 1 (cont.)
the data resulting from the NSS, the timely and efficient management of the
data collected will be essential. Similarly, analysis of "the results of the
Phase I-Pilot Survey will aid in identifying aspects of the sampling and
analytical designs that can be changed to increase the efficiency of the full
Phase I Survey.
Specific Program Identification
, , Code
Title
Multimedia - Energy
i
Understand and Quantify Aquatic Effects
National Surface Water Survey
Stream Survey
Decision Unit - N104
Objective . ••• E
PPA 06
Project 56
Planned Project Output
Complete, validated database incorporating QA/QC protocols.
Explanation of Any Apparent Duplicativt! of Excessive Efforts
There is no duplication of effort or excess effort involved in this pro-
posed project. By centralizing the dat.a management in a single facility
and"making validated data sets available to managers and interested scien-
tists, duplication of effort by potential users of the data is minimized.
Reviews
This proposal has been reviewed by two extramural reviewers, Or, Christopher
Ouf.fy, Division of Water Resources Engineering, Utah State University, and
Or. Fred L. "Ramsey, Department of Statistics, Oregon State University; by
one inhouse reviewer, Mr. William C. Tiffany, Director of the ERL-Corvallis
Computer Facility; and by Dr. Robert D, Schonbrod, Principal Investigator
for the Quality Assurance aspect of the NSS at EMSL-Las Vegas. Dr. Jay J. '
Messer, Technical Director of the NSS vias given the task of sending out the
proposal to appropriate scientists for their comments. In the attached
memo, he has summarized the comments of all rev.iewers. Dr. Messer states
that all points of concern regarding those comments that relate to data
management were satisfactorily clarified with Or. Mike Sale, one of the
principal investigators on this proposal. Overall the reviews were favorable
with all of the reviewers recommending funding. Revisions have been
made in the proposal to address issues raised by the reviewers.
Reconciliation of Contrasting Views
Reviewers were concerned about lack of detail .in allocating tasks among ORNL,
ERL-Corvallis, and EMSL-Las Vegas; about the total budget figure, in light
of prior development activities associated with the National Lake Survey;
and with several minor points in the proposal. I believe that these issues
are adequately reconciled by Dr. Messer in the accompanying memorandum.
4.A-17
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SEPT. 1988
Sample Decision Memorandum - 1 (cont.)
Recommendations
The reviewers indicated that, in general, this was a sound proposal that would
result in an important contribution to current research knowledge. The pro-
posal was considered to be an integral and essential component of the National
Surface Water Survey. The facilities and personnel were judged to be competent
to handle the data management. Funding at the level requested was recommended
after minor revisions In the proposal. The proposal, as amended, appears as
Attachment A, and will now serve to define the scope and plan of work for the
project. I recommend that the proposal be funded at the requested level.
The research results of this proposal will be a significant contribution to
the National Surface Water Survey and objectives of the National Acid Precipi-
tation Assessment Program.
4.A-18
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SEPT. 1988
Sample Decision Memorandum - 2
UNITED STATES ENVIRONMENTAL PROTECHON AGENCY
ENVIRONMENTAL RESEARCH LABORATORY —COM VALLIS
SUBJECT
Decision Memorandum
EPA and Pacific Northwest Laboratory
DATE
2 £ tggg
FROM Raymond G. Wilhour, Chief
Air Branch
TO
0189932027-01-0
Thomas A. Murphy
.Director
Objectives
Through ERL-C, the Agency is conducting a major research project on the predicted
effects of acidic deposition on surface water chemistry. This project is called
the Watershed Manipulation Project (WMP). One objective of the WMP involves the
testing of Direct/Delayed Response Project: (DDRP) models (Trickle-Down, MAGIC,
and ILWAS) to confirm cause-effect hypotheses and to develop a greater under-
standing of the processes that affect surface water acidification.
This proposed modeling project objectives are as follows:
1. To test, compare and verify DDRP mcxterls and assess their usefulness in
addressing specific assessment and/or- policy questions.
2. Conduct modeling studies with the WMF1 Site/Task Leaders to design, analyze
and interpret manipulation experiments; compare model outputs and experi-
mental results; and to address policy assessment questions.
3. Maintain the latest quality-assured versions of the models and systematically
track all model revisions. . -
*
Pacific Northwest Laboratory (PNL) scientists will contribute final reports on
model sensitivity and uncertainty analysis;; and model evaluation and comparison. .
They will also assist WMP in site selection, experimental design, and supporting
model studies. They will contribute a final report on the results of the watershed
manipulations, model outputs, and will include an evaluation of the usefulness
and limitations of the models for providing information to the policy decision
process.
Explanation for Selecting the IAC Mechanism
Twenty-seven requests for preproposals were sent to Principal Investigators at
Universities and Agency Laboratories. Five preproposals were received, reviewed
and ranked by six reviewers (3 in-house and 3 extramural). Pull proposals were
requested from the three top-ranked preprcposals, DePinto, et al, Clarkson
University; Wood, et al, Princeton University; and Jenne, et al, Pacific Northwest
Laboratories. These proposals were then peer reviewed and ranked by the
following reviewers; Dr. Webb;Van Winkle, Oak Ridge National Laboratory, Dr.
Jerald Schnoor, University of Iowa, Dr. George Hornberger, University of Virginia,
Dr. Brian Mar, University of Washington, Dr. Kurt Riitters, Northrop Services,
Inc., and Dr. Jeff Lee, EPA-Corvallis. Based on the proposal and from these
: 4.A-19
-------
SEPT. 1988
Sample Decision Memorandum - 2 (cent.)
0189932027-01
reviewer comments, the PNL proposal was judged the best proposal to provide the
maximum benefit for the project.
The IAG mechanism was selected because the work will be carried out by DOE (a
federal agency), at the Pacific Northwest Laboratory (PNL). The reason for
selecting PNL is because they are particularly well suited for conducting this
research: depth and experience in model development, particularly geochemical
and hydrological modeling; extensive experience in field-process studies, surface
hydrology and partially saturated flow investigations, solution chemistry and
kinetics; extensive experience in large multi-disciplinary research projects;
and excellent mainframe and desk-top computer facilties, library/literature
search facilities and report preparation capability.
Resolution of Reviewer Comments
The .proposal was reviewed in-house by Dr. Jeff Lee, EPA-Corvallis and extramurally
by the following reviewers; Dr. Webb Van Winkle, Oak Ridge National Laboratory,
Dr. Jerald Schnoor, University of Iowa, Dr. George Hornberger, Onversity of
Virginia, Dr. Brian Mar, University of Washington, and Dr. Kurt Riitters, Northrop
Services, Inc. Comments from all six reviewers were extremely positive and all
recommended funding at the proposed level.
Dr. Lee commented that.the PNL staff were excellent, Jenne was very experienced
and would be closely involved, the proposal presents a commitinent to close inter-
action with the WMP team and understands the modeling application. Dr. Mar
commented that the proposal was well written and demonstrates a good understanding
of the problem. He further pointed out a weakness of the proposed approach
concerning PNL's appreciation of the use of models in experimental design and in
support of users of the models. These points are satisfactorily addressed in the
attached letter of response from the PI (response to reviewer #1). Further Dr.
Mar recommended that a clear definition of specifications and requirements for
the model evaluation, analysis and support together with protocols be developed
prior to proceeding with the tasks. This comment is addressed in the PNL
proposal in Section 7.0, Schedule and Milestones, Task 1.,.Milestone 1.5; Finalize
detailed strategy for performing sensitivity analyses. Through special condition
*3, a similar milestone will preceed the model evaluation and comparison task.
Dr. Riitters recommended funding PNL with major modifications. The recom-
mended modifications were for a justification of the sensitivity analyses
approaches within Task 1 and improvement of the rigor of the discussion on experi-
ments design. These two comments are addressed in the attached letter of response
from the PI. He further commented that the Pis appear well-qualified, and their
organization the most capable of bringing the variety of needed skills to the
total project, and that the computer facilities are the best of the proposals.
Dr. Webb Van Winkle recommended funding for PNL without major modifications. He
ccoraented on the high quality of the proposal and anticipates that would carry
forward to the work and products, he also expressed confidence that PNL would
produce the proposed research product. Dr. Jenne was acknowledged to be extremely
4.A-20
-------
SEPT. 1988
Sample Decision Memorandum - 2 (cont.l
0189932027-01-0
knowledgeable, possessing the contacts wir.h other researchers,-and recognized by
peers in the area of biogeochemistry.
Dr. Hornberger's review connents included:; reconmended funding; PNL is very strong
in science and has the highest likelihood of successful interaction with the WMP
team; PNL had the best proposal for model evaluation. Dr. Hornberger also recom-
mended additional development of the projwt'specifics and planning, see special
condition #3.
Dr. Schnoor ranked the proposal good and cxmnented: PI team has a broad background
in geochemistry and hydrology, but minim].. specific experience in acid rain; good
team experience, a WMP advantage. He reccranended that a workshop with the
developers of the DDRP models be held early in the project (section 7.0, Milestones
and Deliverables proposes several such workshops). No further response needed.
Relation of This to Program Mission
This IAG relates directly to the WMP. This work will involve the testing of DDRP
models to confirm cause-effect hypotheses and to develop a greater understanding
of the processes that affect surface water acidification, a major objective of
the WMP.
Specific Program Identification
1. Decision Unit
2. Objective
3. PPA
4. Project
Code
N104
F
02
Title
Multimedia-Energy
Understand and Quantify Terrestrial Effects
Watershed Manipulation Project
Watershed Manipulation Project
5. Planned Project Output
Implementation Plan for the Maine Manipulation Site (04/87)
QA Plan for the Watershed Manipulation Project (04/87)
Interim Report on Evaluation and Analysis of DDRP Models (07/87)
Progress/Status'Report,jcovering all WMP Tasks, Sites and Modeling Efforts
(03/88, annually thereafter)
4.A-21
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SEPT. 1988
Sample Decision Memorandum - 2 (cont.)
0189932027-01-0
6. Specific Products to be Produced by This Agreement
Final reports on model sensitivity and uncertainty analysis; model evaluation
and comparison; and testing of models' predictive capabilities through
comparison with field data. Assist in the final preparation of the WMP
report; technical reports including annual reports; presentation of the
results of model evaluation and simulations at national and international
meetings on acid precipitation.
4.A-22
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SEPT. 1988
%^
Sample Decision Memorandum - 3
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
AUG 1 4 19136
Subject: Approval of a New Interagency Agreement
From:
To:
OFFICE OF
A» AND RADIATION
018993 2'0 47-01-0
Paul Schwengels
Office of Program Developme
''.AR-44
Dwain Winters, Acting 01 rector
Office of Program Development -[AR-445)
1. Title: Estimating Employment Impact!* of Acid Deposition Control
Options and Related Analysis
2. Institution: Department of Energy, Pacific Northwest Laboratory
3. Amount: Requested FY86 Funding 18,100
Estimated Multiyear Total 50,000
4. Type of Award:
5. Objective
New Interagency Agreement
This project supports trio Office of Program Development
and other Ayency policy offices in evaluating current
methodologies for estimating employment impacts of al-
ternative acid rain control options. It will also iden-
tify uncertainties in those approaches and recommend im-
me'fhods if appropriate. In addition,
de review of and recommendations
s methods for acid deposition
improvements in these
the project will prov
for integrated analys
appltcation.
5. Alternatives:
Alternatives have been consider including several
economic anaylsis contractors and university-based
researchers working in similar ereas. Key researchers
available through Pacific Northwest Laboratory.have
been involved in related economic analysis efforts
previously conducted by the EPA in conjunction with
the National Acid Deposition, Assessment Program
(NAAPAP). To a large extent this project builds on
these previous effort:; and requires substantial
knowledge of models and data bases which have been
4.A-23
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SEPT. 1988
Sample Decision Memorandum - 3 (cont.)
" 2 " 0189932047-01 - 0
developed by NAPAP and other EPA efforts. It is
likely that this relatively small project can be
carried out more efficiently by the PNL staff because
of this familiarity and experience with prior efforts.
6. Hecommendation: It is recommended that the agreement be approved.
Attachments
Commitment Notice
Interagency Agreement
4.A-24
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SEPT. 1988
Sample Decision Memorandum - 4
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
ENVIRONMENTAL RESEARCH LABORATORY
200 S.W. 33TM STREET
CORVALLIS. OREGON 97333
MEMORANDUM
30 J987
SUBJECT: Proposed IA6 with
U.S. Army Corps of Engineers
Waterways Experiment Station
FROM: Thomas A. Murphy, Director /-*7
TO: Grants and Information Analysis Branch (PM-216F)
CI96932523-01-0
Attached for your action is an approved funding package for a proposed
interagency agreement with the U.S. Army Corps of Engineers, Waterways
Experiment Station, titled "Training in the Use of.the Revised Wetland
Evaluation Technique and Support of Further Refinements in'the Method."
The purpose is for personnel from the Waterways Experiment Station to:
1) Conduct a training class for ERL-Corvallis on wetland
delineation and the revised Wetland Evaluation Technique (WET).
2) Conduct a training class for trainers of WET that includes
five EPA personnel.
3) Supply the EPA Office of Wetland Protection with 82 copies of
the manual and software for WET.
4) Conduct technical reviews of WET.
Your early action on the subject agreement is appreciated. If you have
any questions regarding this package, please contact Charles Frank of my
staff on FTS 420-4651.
Attachment
4.A-25
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SEPT. 1988
Sample Decision Memorandum - 4 (cont.)
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
KNVIftONMKNTAk RCSCAftCM UABORATORY-COHVAU.13
DECISION MEMORANDUM 4/9/87
SU«J«CT u.s. ARMY ENGINEERS, WATERWAYS EXPERIMENT STATI00ATE
Spencer A. Peterson, Chief ^Ofl'VW ^fS^Y^^
Hazardous Waste and Water Branch
CI969 32523-01-0
Thomas A. Murphy, Director
TO
A. Objective
This course will train the teams that will
evaluate mitigation projects in Washington
and Oregon during the summer of 1987.
To adequately test the applicability of the Wetland Evaluation
Technique, also known as the Adamus Technique, and the EPA and
Corps wetland delineation techniques to the evaluation of created
and restored wetlands, the people using the methods must be
trained. The same training for the personnel involved is
necessary for such an evaluation.
B. Relationship of This Project to the Program's Mission
Evaluation of completed wetland creations and restorations ts
central to the Wetlands Research Program's Mitigation Component.
C. Specific Prograa Identification
Code
1. Decision Unit 8101
•
2. Objective A
3. PPA 16
Title
4. Project
14
Water Quality
WQBA Permitting
Wetland Research on Water
Quality, Mitigation and
Cumulative Effects of
Loss
Wetlands
5. Planned Project Output
7575A A03
7576A A03
Report of Selected Mitigation Projects in
Regions IX md X DUE: 9/88
Final Report of
Cumulati ve Impacts
Wetlands
Gui dance
Mi tigation
DUE: 9/91
and
4.A-26
-------
SEPT. 1988
Sample Decision Memorandum - 4 e of the EPA and Corps wetland
delineation methods and the revised Wetland Evaluation
Technique
Manuals will be supplied for each of the techniques, plus
the software and training notebook for the Wetland
Evaluation Technique.
D. Explanation of Any Apparent Duplication or Excessive Efforts
There is no duplication of effort or excessive effort. The
Waterways Experiment Station personnel are. recognized expert
trainers in the methods being used. They often provide training
for EPA and other agencies.
E. Reviews
A project proposal and review is not necessary in this case. The
approach of providing uniform training for the personnel doing
the field evaluations of created and restored wetlands was
evaluated as part of the Wetland Research Program's FY87
Operating Plan, the Operating Plan was technically reviewed.
F. Reconciliation of Any Contrary Reviews
Not applicable. See E. above.
G. Justification
An Interagency Agreement was chosen as the funding vehicle for
this project because the training needed is provided by a Federal
agency. The personnel of the Waterways Experiment Station are
recognized as expert trainers in the methods being used. They
often are commissioned to provide training for EPA and other
agencies.
H. Recoaaendatlon
The reviewers indicated that the FY87 Operating Plan was
technically sound, and the objectives are important and meet
EPA's needs. As indicated above, the personnel of the Waterways
Experiment Station are well equipped to provide the training
needed. It Is recommended that the proposal be funded at the
requested level. The research output will contribute to the
evaluation of the status of wetland creation and restoration in
this nati on.
Eric Preston will be the project officer.
4.A-27
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-------
SEPT. 1988
Sample Superfund Decision Memorandum
Regional Superfund (specify nature of activity)
Decision Memorandum
SUBJECT: Superfund Interagency Agreement with the (specify
other Federal agency) for (specify purpose) at
(specify site name, ci.ty, state) site
TO:
FROM:
Regional Administrator, Region
I recommend that you, as the EPA Action Official,
approve and sign the attached Xnteragency Agreement
(IAG). Under the IAG, the (spocify other Federal agency)
will provide EPA with (specify activities) at the (specify
site name, city, state) site.
The (specify other Federal agency) will provide
specialized contract support services to EPA. It will
also utilize procurement extramural agreements and State
Cooperative Agreements to carry out the Scope of Work.
The lAG's project (site) activities and provisions are
in compliance with the following statutory and EPA policy
requirements:
1) Statutory
2) Policy
Economy Act of 1932, as amended (31 USC
1535)
CERCLA, as iimended (42 USC 960IFF)
Executive Oirder 12580
EPA IAG Pol:icy and Procedures Compendium
1 - Chapter 51, EPA Assistance
;" Administration Manual
- SCAP
- Memorandum of Understanding
NOTE: If the Decision Memorandum is for an
"ihcrease-in-funds" amendment, add the following paragraph:
The increase in funds will cover costs for additional
site activities related'to the original Scope of Work
under the IAG. These activities are necessary to maintain
the progress towards the successful completion of the SCAP.
4.A-28
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-------
SEPT. 1988
APPENDIX B
Instructions for Receipt of
Regional IAG ID Numbers by E-Mail
These instructions assume that the user has a working
knowledge of basic E-Mail commands. They are designed for
assistance in completing the GIGS form resident on the
E-mail system in- order to recei.ve a Regional IAG
identification number from GAD.
1. Log on to the system.
2. Type: REQUEST GIGS, followed by a carriage return
(This will invoke the form.)
3. Fill out the form based on the information requested.
Please note that the IAG mimber (first line) should be
left blank, because, as a contirol, only GAD in
Headquarters may assign this identifier. For amendments,
the prior IAG number (second l:lne) should always be
completed by the regional office.
In the case of multiple line answers (e.g., address),
an additional carriage return is required after the last
line of text in order to get the next question. At the
end of the form, if the user would like the form displayed
prior to transmitting it, type "YES", and the form will
scroll across the screen. Otherwise, type "NO". Since
the GIGS form is too long to appear completely on the
screen, the scrolling can be shopped temporarily by
holding down the 'control1 or 'special shift' key and
pressing the 'S1 key. To continue the scrolling, hold
down the 'control1 or 'special shift1 and press the 'Q1
key. When the form process is complete, the user will be
returned to the system prompt ('>'). Prior to sending,
the user may wish to:
cc itself a copy of the input sheet, and
type "AR" (acknowledgement requested) after the
system prompt to obtain verification that GAD
received the form.
If the user wishes to start over at any time during
data entry, hold down the 'control' or 'special shift' key
and press the 'P* key. This will take the user back to
the system prompt. The incomplete form will be
cancelled. To begin again, type "REQUEST GIGS" again.
See Chapter 3 - IAG Tracking System GIGS, for a copy of
the GIGS Data Input Sheet.
4. B-l
-------
-------
SEPT. 1988
APPENDIX C
File Contents
Originating Office File
Records of discussions and contacts with all
potential sources and the resulting decisions
Checklists
Copy of executed IAG form, with original
signatures and all attachments (Note: for
regional agreements, only a copy of the first
three pages of the IAG form -are filed at GAD)
Copy of executed amendments to the agreement, if
applicable
Disbursement only. Commitment Notice(s)
Copy of decision memoranda (original and
amendments)
Transmittal and other letters to the other agency
Financial information
Cost estimate
- :' . Reimbursement only. EPA Form 2550-8
• (Reports of Reimbursable Services
Rendered)
- i Disbursement only. Invoices,
certifications, and SF1080 or SF1081,
if applicable
Relevant memoranda - to and from Budget Division,
• GAD, CFMC, others involved in the processing,
monitoring, and termination of the agreement
Audit correspondence and reports
Progress reports and final reports sent to or
received from the other agency
t -r •
Closeout information - closeout letter sent to
other agency, project officer statement that no
additional activities will take place under the
agreement and that the final product of the
agreement (if any) has been provided, and
relevant memoranda
4.C-1
-------
SEPT. 1988
S. Official File
Backer No. 1
Checklists
Disbursement only. Commitment Notice(s)
*
Reimbursement only. EPA Form 2550-8 (Reports of
Reimbursable Services Rendered)
Copy of decision memoranda
Copy of quality assurance form(s), if applicable
Backer No. 2 ,
Copy of executed IAG form, with original
signatures and all attachments. (Note: for
regional agreements only a copy of the first
three pages of the IAG form are filed at GAD)
Copy of executed amendments to the agreement, if
applicable
Backer No. 3
Closeoiit information - closeout letter sent to
other agency, project officer statement that no
additional activities will take place under the
agreement and that the final product of the
agreement (if any) has been provided, and
relevant memoranda
Backer No. 4
Records of discussions and contacts with all
potential sources and the resulting decisions
Transmittal and other letters to the other agency
Relevant memoranda - to and from OC, GAD, CFMC,
others involved in the processing, monitoring,
and termination of the agreement
Progress reports and final reports sent to-or
received from the other agency
4.C-2
-------
SEPT. 1988
Backer No. 5
Audit correspondence ;md reports
Backer No. 6
Final reports
4.C-3
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-------
SEPT. 1988
APPENDIX D
Forms
This appendix includes copies of forms, other than the
EPA Form 1610rl, often used in the processing of
interagency agreements. The following forms are included:
EPA Form 2550-8 - Report of Reimbursable
Services Rendered
• . EPA Form 2550-9 - Commitment Notice
EPA Form 2550-19 - Contract Status Notification
EPA Form 2500-1 - No'cice of Administrative
Exception
SF238 - SI3AC Adjustment Voucher for
Charge-Backs
SF1080 - Voucher for Transfers Between
Appropriations and/or Funds
SF1081 - Voucher and Schedule of
Withdrawal and Credits
EPA Form 6005-3 - Superfund Minority Contractors
Utilization Report
EPA Form 6005-3A - Superfund Minority Contractors
Utilization Report (Part 2)
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SEPT. 1988
EPA Form 2550-8
RIFOt-T OF RnMBURSABLe
SERVICES REMDIRiO
P(eOPNIATIOM ST«
axi M.I.OWANC*. HO,
IMSTWCnOM
Th* "TO" Una will b* completed with tb* name mid billirf address or the Agency receivlns; tb* services as indicated la th*
bUIIiif instructions contained la th* Iaf*ra«*acy agreement. The "BY" Un* "111 the* th* EPA office p«if«imla« th* work.
Th« •pprapriitioa trabol. fvlmbuncbl* (Uewcnc* nuab«r, •ceaant numbOT. fad lnt«r«g«ncy «p»«imut narnbvr mill b» •* cit«d
la th« «ti««n»nt.
The description of lb> Mrvlcn for which th« billinf is to >• rmd«r*d •bouM b« niffleimUy •pveiflc »o that U e«o b* ••««•
ci>t«d with tlM t«m« of lh« «gi««D»nt. If Ih* t«rm» of th« atrMnvnt ipwify • unit cost, th* total aitaMr of wit* provided will tx
•hown and lh« total aoMont to ba blllad aatatvd in tha aoraom column. If th* •ay»«m«nt ipaelfla* th* raimburMBwat of th* cost* of
providing; th* good* or ««nric««. tb* tomtit* to b* r*labim*d should b* itamicad. If all obUfttloa* to b* billad hav* b**n ch*r»«d
to a *p«ciflc raiaibitnabl* •eeount oumbw, or to a specific MnaiitawBt number within th* account, th* account number, commitment
number, pee* and date of tha accounting report ihould b* lndl:ated. la th* event that obli«etion* have been charged to aa operatiac
account number rather than to a reimbursable account, each oiittajatlon should b* ItemUed in the manner indicated abov*. and th*
aervlcint accountlnf offle* *dvleed of this so that they may transfer th*s* charge* to th* correct reimbursable account number at
th* time th* billinf Is prepared.
TO
OATI
OCSC"lr>TION Of SERVICE, FeESON HEIHMtMSASLK COST
t 'im reoraafed Aat Am Acaauntint Otticm raider • bill lot th» •orviea* indicated aoovo.
AMOUNT
4.D-2
-------
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SEPT. 1988
EPA Forr.i 2550-9
OTE: Preparation and approval of this form docs not constitute in obllcMioo of money. Tb« us* of Chi* I
variability ol mon«y by f««*r»itn it to* csrtsln typ«» of iixclfUd transactions.
COMMITMENT NOTICE
irm ii intmdcd 10 entrant**
HIS COMMITMENT TRANSACTION IK THE AMOUNT Of »
IS FORs
OLE COLLAIIS
Q
A CONTRACT
HCRIPTION or PROJECT, coooi. on SERVICCS
NAMC or eilANTCe/CONTMACTOM/VCNBOn
ASK. MOA». OM OTHCM LOCAU IDENTIFIER
IDENT. NO. (CUI)
SPECIAL COMMENT! OR INSTRUCTIONS
AH,0»AMCE MQUOEH APf BOVAH i'O>tl««MI, «i tltcmilan at Alt«mmc« H*la*t>
HOLDER TITLE
SIGNATURE
•tSPONSIBlljTV CKNTCR TtTut
OATC
FUNDS CERTIFICATION
PHCPARCD «T
APPROVED AT
ICNATUHC
* FOR •CSPOMSIMI.ITTCtNTtR USE ONLY
Contract a*|ou«ar U Q '• not Q •utiwrU*d to *me»*4 meuni *howa tbo** by up (o 10% wlthaw ••euriBE (anhn •pptaval for funds.
THE AMOUNT OF atONCr SHOWN IS: -
I I'm ORIGINAL COMMITMENT
3AM IMCRCASE TO A
P*tVfOUt COMMI TM9MT
]A DECREASE TO A
• NCViaul eOHUITMKNT
FINANCIAL DATA r*M «mmc
Illliot «M>
t 1
10 11 12
EPA ?•«• 23SO-* («.,. 4.74)
OOCUMCHT
CONTROL NO.
I 1* IT
1* 1* »
it K'.
ACCOUNT
41 42 41 44
APPROPRIATION:
OBJECT
CLASS
4S 46 4? tS 4* 10 II S2 Jl S4 II it
AMOUNT
• BVIOMS CWTIOM I«O*SOL
4.D-3
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SEPT. 1988
EPA Form 2550-19 (used by CFMC)
CONTRACT STATUS NOTIFICATION
INSTRUCTIONS
1. Complete and return to the tervicjni financs office indicated below.
2. Only the oripnal need be returned: you may retain the copies if desired.
3. tf you cannot approve payment, return the voucher and a memorandum of explanation as soon as possible.
4. Return of this form or e memorandum must be accomplished within on* week. Scrvicini finance offices will follow-up late reports.
This is necessary to asaure responsive payment processing to the contractor.
SERVICING FINANCE OFFICE
' ft* ' juNtwe OttMMs aer«
MS 213
; C...WINNAU1 QhIO 45268
CONTRACTOR NAMC
CONTRACT NUMBCK
CONTRACT VOUCHER NO.
DATE
I have determined that the above cited contract is underway and the payment requested is commensurate with the
contractor's level of progress.
Check one:
[~"| Goods or services have been delivered as requested by the contract to support this payment.
IT! Sufficient progress has been made by the contractor to support this progress payment as authorized
by the contract.
PROJECT OFFICER fAaave cited eonumtti
EM Form
u.s.
.1t IHs». 7411
EDITION MAY K.USCD UNTIUSUFF1.V IS EXHAUSTED.
4.D-4
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SEPT. 1988
EPA Form 2500-1
U.S. ENVIflONMCNTAL PROTECTION AGENCY
NOTICE OF ADMINISTRATIVE EXCEPTION
AMOUNf
$
NAME AND ADDRESS Of APPLICANT
ADVANCE <,PPLIEO
ORDER NO.
INVOICE NO.
WEHIOO COVERED
FffOMl
46V f RE1 ASURV CHECT
NblNd
ftttUflt tto* dWflwMI •• ttlli lOilll WWI
*ouetar or your rteUim
Your request for payment has been audited for compliance
-------
SEPT. 1988
Standard Form 238
eruj. aowrnmwt feinting o«mcy
4.D-6
-------
SEPT. 1988
Standard Form 1080
rani ION
,' «io
VOUCHER FOR TltANSFERS
BETWEEN APPROPRIATION:! AND/OR FUNDS
Dtpjfimrm. nuMnhmcnt burnu -v jrttM hiJlmy
| ITtf anmem. nuoliiluntn*. Nirnu. >v ii«r>it tt*H«J
PAIO tT
OlOftNO
DAT! Qf
DCUVIIT
tlio«U h« i«« t»—
QUAN-
TITY
vwtr NKI
CQ»
I I
i
TOTAl.
AMOUNT
ACCOUNTING CLASSIFICATlON-fl>//fWjr
CERTIFICATE Olr OFFICE BILLED
dui th* *boo« tnicte* «r«f* rwtt»«d tad acoptnl or Ik* Mtvicct {xribrmrt M M»ud ind iheuld b< chsncd co the
and/or fendd) a> io4icawd twiow; or that tt« (dvinct ftjmuM rrqunttd it ipprvcd and ihould 6* paid at
indicated.
ACCOUNTING ClASSIFTCATION-Qj»t»
I hid k* Cturk N«,
4.D-7
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SEPT. 1988
STANDARD FOflMtOai
flcviMO S«Oi»«H»r 1983
Otoartmtm of th« Treasury
I TFRM 2-2900
CHAKOI AMD CKCDIT WILL •• ftCPOIITCO OM
CU»TQMCN »OINCT STATCMCMT Or TMAMMC-
TION» PO* ACCOUNTING PCKIOO IM
St andard.Form 1081
VOUCHER AND SCHEDULE
OF WITHDRAWAL AND CHECKS
Transaction Oalc
Document No.
466331
CUSTOMER AOCNCY
9ILUING AGENCY
A|eney Location Cotfc (ALC1
Cuuomcr Ateney Voucher No.
Agency Locinor. CodetALO
Billing Ajcflcy Vouchet No.
DSPARTMEKT
BUREAU
ADDRESS
DEPARTMENT
BUREAU
ADDRESS
SUMMARY
SUMMARY
APPROPRIATION. F!.'ND.CR RECEIPT SYMBOL
AMOUNT
APPROPRIATION. I-'LNO. OK «ECE!PT S^ V
{MUST AGREE WITH RULING
ACENCVTOTAL1
TOTAL
(ML SI ACJRCE WITH CUSTOMER
AOtNCV TOTAL)
TOTAL
0«iii li of eturse or refcrncc to aciaditd ^upportin t dosumcnu
BILLINf, ACENCY CONTACT:
PREPARED BY .-- -
APPROVED •*_.
TELEPHONE NO
CERTIFICATION OFCUSTOMtROFFiCE
I cenify thai the items Hurt h«r«ia w* comci and proper for piymtni from m*l 10 the aeprophaiionttk dai|niicd.
lOaitt
IA Htttomnt attmausuvnvt or etniffiitg offtctri
.
MilVIOVI* lOITtOM MOT U«A«L«
Original • Fonrvd To CitcteoMr For Payment
4.D-8
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SEPT. 1988
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4.D-9
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SEPT. 1988
EPA Form 6005-3A
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4.D-10
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SEPT. 1988
APPENDIX E
Checklists
This appendix includes checklists to be used by the
originating office, the RAAU, .and the GAD to ensure that
the processing steps- associated with the origination,
execution, arid closeout of an TAG are completed.. The
following checklists are included:
Checklist for Funds-Out Interagency Agreements,
Originating Office
. - Checklist for Funds-Ill Interagency Agreements,
Originating Office
Specialist's Checklist for .Funds-Out/Funds-In
Interagency Agreements (GAD/RAAU)
Quality Control Senior Specialist's Review for
Funds-Out/Funds-In Interagency Agreements
(GAD/RAAU)
4.E-1
-------
SEPT. 1988
Checklist for
Funds-Out Interagency Agreements
Originating Office
It is suggested that this checklist be maintained during
the origination and closeout: phases of each IAG. The
execution phase is not included in the checklist, since each
task is on-going and often repeated. As each step is
accomplished, the individual responsible for that step should
initial and date the completed item.
Oriaination Phase " '
Closeout Phase
. 1. Project is mission-related
. 2. IAG is appropriate instrument
. 3. Project Officer is assigned
.4. . Preliminary cost estimate is completed
. 5. Development and negotiation of terms of
IAG are completed
. 6. IAG document, EPA Form 1610-1, is
completed (3 copies minimum)
. 7. Decision Memorandum is prepared
. 8. Commitment Notice is prepared
(Disbursement lAGs)
. 9. IAG package is assembled
.10. Originating office file is established
.11. IAG package is approved and signed by the
Program Office Decision Official
.12. IAG package has been sent to GAD/RAAU
for official agency review
.13. Action official has signed IAG package
.14. IAG package sent to other agency
.15. Other Agency has accepted LAG
.16. Executed IAG sent to CFMC, GAD
(and BD and FMD of OC for Allocation
Trans fers-Out)
.17. Change request has been submitted to HQ
(Allocation Transfers-Out)
.18. Appropriate documentation is in
originating office file
1. Final report received from other agency
2. Nonexpendable property disposition
recommendations reported
3. Request for closeout sent to GAD/RAAU
4. Closeout letter sent to other agency,
GAD, and CFMC (also FRAB(HQ), and the
Budget Division for Allocation Transfers)
5. Originating office file removed from
active status
4.E-2
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SEPT. 1988
Checklist .for
Funds-In Interagency Agreements
Originating Office
It is suggested that this checklist be maintained during
the origination and closeout phases of each IAG. The
execution phase is not included in the checklist, since each
task is on-going and often repeated. As each step is
accomplished, the individual responsible for that step should
initial and date the completed item.
Qricrinatinn Phase
Closeout Phase
1. Project is mission-related
2. IAG is appropriate instrument
3. Project Officer is assigned
_ 4. Obtain reimbursable advice of allowance
_ 5. Preliminary cost estimate is completed
. 6. Development and negotiation of terms of
IAG are completed
. 7. IAG document and/or EPA Form 1610-1, is
completed (2 copies minimum)
8. Decision Memorandum is prepared
9. IAG package is assembled
.10. Originating office file is established
.11. IAG package is approved and signed by the
Program Office Decision Official
.12. IAG package has been sent to GAD/RAAU
for official agency review
.13. Action official has signed IAG package
.14. IAG sent to other agency
.15. Executed IAG sent to CFMC, GAD
(and BD and FMD of OC for Allocation
Transfers-In)
.16. Appropriate documentation is in
originating office file
1. Final report, sent to other agency
2. , Nonexpendable property disposition
recommendations reported
3. Request for closeout sent to GAD/RAAU
4. Closeout letter sent to other agency,
GAD, and CFMC (also FRAB(HQ), and the
Budget Division for Allocation Transfers)
5. Originating office file removed from
active status
4.E-3
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SEPT. 1988
SPECIALIST'S CHECKLIST FOR
FUNDS-OUT/FUNDS-ININTERAGENCY AGREEMENTS
GAD/RAAU
EPAIAGNo.
Other Agency No.
Specialist
Date ——
LEGAL AND ADMINISTRATIVE
IAG PACKAGE
Form 1610 approp. # copies(3)
Decision Memo/Authority
Commitment Notice (approval)
Commitment Verification(>$25K)
Quality Assurance
Note: Use specialist stamp on page 1 of all lAGs
Yes
No
N/A
Follow-up
ADMINISTRATIVE LINKAGES
Approp. to EPA mission
Approp. use of IAG mechanism
In compliance with:
OMB Circular A-130 (Data Proc.
Facil.,cc: NDPD.RTP)
OMB Circular A-76 (Commercial
Sources)
OMB Circular A-97 (Inter-
governmental Agreement-RW)
Superfund Cost Recovery
Patents
Yes
No
N/A
Follow-up
FQRM
Part I - General Information
[1] EPA IAG Number
[2] Other Agency ID Number
[3] Type of Action
[4] Funding Location (Region)
[5] Program Abbreviation
[6] EPA Organization Address
[7] Other Agency Address
[8] Project Title
[9] EPA PO, Address, Tel.
[10] Other Agency PO, etc.
[11] Project Period
[12] Budget Period
[13] Scope of Work
[14] Statutory Authority
Transfer (Economy Act)
Project Activities
[15] Other Agency Type
[16] EPA Amount
[17] EPA In-Kind Amount
[18] Other Agency Amount
[19] Other Agency In-Kind Amt
[20] Total Project Cost
[21] Fiscal Information
RW - P.E. #
- Reimb. ACCL #
- Amount
Yes
No
N/A
Follow-up
Part n - Approved Budget
[22] Budget Categories
a. Personnel
b. Fringe Benefits
c. Travel
d. Equipment
e. Supplies
f. Procurement/Assistance
g. Construction
h. Other
i. Total Direct Charges
j. Indirect Costs
k. Total and Shares
[23] Equipment (with EPA S)
[24] Extramural Activity
(Both agencies must have
assistance authority)
Part III - Fundtnz Methods/Billing
[25] Funds-Out IAG
[26]Funds-InIAG
Part TV - Acceptance Conditions
[28] Special Conditions
Indir. Costs Special Cond.
Part V - Offer and Acceptance
[29] GIAB/RAAU address (Note:
Use stamp re: signed accept-
ance return)
[30] Program Office address
[31] EPA Dec. Official Sig.
[32] EPA Action Official title
[33] Other Agency Auth Off sig.
(RWonly)
4.E-4
Yes
No
N/A
Follow-up
-------
SEPT. 1988
QUALITY CONTROL SENIOR SPECIALISTS REVIEW FOR
FUNDS-OUT/FUNDS-ININTERAGENCY AGREEMENTS
GAD/RAAU
IAG NUMBER.
SPECIALIST,
High Quality Throughout
Commitment Verified •• Yes
No
Returned to Specialist for
Typos
Unclear Proposal
Items Missing
Other.
REVIEWER
4.E-5
DATE
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SEPT. 1988
APPENDIX F
Sample Letters and Memoranda
This appendix includes copies of letters often used
during the origination, execution, or closeout of an IAG.
Included are: sample transmittal letters for both
Funds-In and Funds-Out lAGs and amendments, a sample
closeout certification memorandum, a sample closeout
letter for both Funds-In and Funds-Out lAGs, and a sample
overdue acceptance letter.
4.F-1
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SEPT. 1988
SAMPLE TRANSMITTAL LETTER FOR A FUNDS-OUT AGREEMENT
EPA Reference: DW
93
-0
Dear
I am forwarding to you for review and acceptance or
rejection two signed copies of an interagency agreement
titled " "
If you wish to accept the agreement, please have your
authorizing official sign both copies and return one
signed copy to me at the address in item 29 of the
agreement form. The other copy with official signatures
should be retained by your agency. Your early attention
will be appreciated. The transfer of funds from EPA
cannot begin until we have received the accepted agreement,
Please reference the EPA interagency agreement number
to identify future activity under this agreement. If you
have any questions or comments regarding this agreement,
please contact , of my staff, on FTS
475-8270.
Sincerely yours,
Thomas L. Hadd, Chief
Grants Information and Analysis Branch
Grants Administration Division
Enclosures
cc:
Official
Reading
PM-216F:SPECIALIST:
A. Specialist
:Fairchild:475-8270:
4.F-2
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SEPT. 1988
SAMPLE TRANSMITTAL LETTER FOR A FUNDS-OUT AMENDMENT
i EPA Reference: DW 93
Dear
I am forwarding to you for -review and acceptance or
rejection two signed copies of ;i (funding/no-cost
extension/ administrative) amendment to an interagency
agreement titled "
If you wish to accept the amendment, please have your
authorizing official sign both copies and .return one
signed copy to me at the address, in item 29 of the
agreement form. The other copy with official signatures
should be retained by your agency. Your early attention
will be appreciated. The transfer of these funds from EPA
cannot begin until we have received the accepted
amendment.*
Please reference the EPA im:eragency agreement number
to identify future activity und«r this agreement. If you
have any questions or comments regarding this agreement,
please contact , of my staff, on FTS
475-8270.
Sincerely yours,
Thomas L. Hadd, Chief
Grants Information and Analysis Branch
Grants Administration Division
Enclosures
cc:
cc: Official '. •
Reading . A. Specialist
PM-216F:SPECIAL1ST: :Fairchild:475-8270:
* Sentence omitted from no-cost extension and
administrative - amendment
4 . F-3
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SEPT. 1988
SAMPLE TRANSMITTAL LETTER FOR A FUNDS-IN AGREEMENT
EPA Reference: RW
930
-0
Dear
I am forwarding to you one fully executed copy of an
interagency'agreement titled •"•
This official copy is to be retained by your agency.
Please reference the EPA interagency agreement number to
identify future activity under this agreement.
We are pleased to cooperate with you on this matter.
If you have any questions or comments regarding this
agreement, please contact , of my staff,
on FTS 475-8270.
Sincerely yours,
Thomas L. Hadd, Chief
Grants Information and Analysis Branch
Grants Administration Division
Enclosures
cc:
cc:
Official
Reading
PM-216F:SPECIALIST:
A. Specialist
:Fairchild:475-8270:
4.F-4
-------
SEPT. 1988
SAMPLE TRANSMITTAL LETTER FOR A FUNDS-IN AMENDMENT
EPA Reference: RW
930
Dear
I am forwarding to you one fully executed copy of an
amendment to an interagency agreement titled "
This official copy is to be retained by your agency.
Please reference the EPA interagency agreement number to
identify future activity under this agreement.
We are pleased to cooperate with you on this matter.
If you have any questions or comments regarding this
agreement, please contact , of my staff,
on FTS 475-8270.
Sincerely yours,
Thomas L. Hadd, Chief
Grants information and. Analysis Branch
Grants Administration Division
Enclosures
cc:
cc:
Official
Reading
PM-216F:SPECIALIST:
A. Specialist
:Fairchild:475-8270:
4.F-5
-------
SEPT. 1988
DATE:
SUBJECT:
FROM:
TO:
SAMPLE CLOSEOUT CERTIFICATION MEMORANDUM
Project Officer IAG Closeout Certification;
IAG No.:
Project Title:
Agency:
Period of Performance:
Grants Specialist, GAD, (GIAB) PM-216
Project Officer
Mail Code
According to our records, the referenced IAG has ended.
This office is undertaking action to initiate final
close-out of this project.
It is requested that you make a physical review of the IAG
and determine if: (1) all technical requirements have
been satisified; (2) services set forth in the agreement
schedule have been satisfactorily completed; (3) the final
report and/or other deliverable items have been received
and accepted; and (4) all charges have been properly made
and/or payments received.
In the event that the Recipient has satisfied the
performance and/or delivery requirements of the agreement,
please check the appropriate space and cite the date of
your acceptance. Should there be a need to withhold
close-out of the agreement, please advise below and this
office will take proper action. Your reply within 15 days
from the date of this memorandum will be appreciated. I
may be reached at (202) 475-8270 if you have any questions.
( ) IAG requirements have been met and close-out should
proceed. Date of Acceptance: .
( ) Delay close-out and final payment (please indicate
reason for delay under "Remarks").
( ) Reimbursable IAG - Request for final payment on EPA
Form 2550-8 is in process. Upon receipt of final
payment, GAD will be advised to proceed with
close-out action.
Remarks:
DATE
PROJECT OFFICER
4.F-6
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SEPT. 1988
SAMPLE CLOSEOUT LETTER FOR AN INTERAGENCY AGREEMENT
KPA Reference: DW
Title:"
Dear
After reviewing our records, the Financial Management
Center's records and the records of *
we are closing out the above-referenced interagency
agreement. The project was satisfactorily completed and
the remaining balance of funds was $ . If your
records do not agree with ours, contact this office within
15 days to clarify the balance, If we do not hear from
your within 15 days, closeout will proceed. Our mailing
address is:
Grants Information and Analysis!- Branch
Grants Administration Division
17. S. Environmental Protection Agency
401 M Street, S.W.
Washington, D.C. 20460
Your records should be preserved for three years from the
date of submission and approva). of the payment. If any
litigation or,claim.or audit iss started before the
expiration of the three year period, the records must be
kept until these actions are completed and any issues
resolved.
We are pleased to have participated with you in this
project. If you have any questions or comments, please
contact , of my staff, "at (202) 475-8270.
Sincerely, .
Thomas L. Hadd, Chief
Grants Information and Analysis Branch
Grants Administration Divission
cc:
EPA P.O.
FMC/CIN
GICS
4.F-7
-------
SEPT. 1988
SAMPLE OVERDUE ACCEPTANCE LETTER
(from GAD to Other Agency)
EPA Reference:
Reference:
Title:
Dear :
Our records show that we have not received a signed
acceptance for the referenced interagency agreement we
sent to you on , If you wish to accept the
agreement, please have your authorizing official sign the
copies and return one signed copy to the address in'Block
29 of the EPA Form 1610-1. The transfer of funds from EPA
cannot begin until we have received the executed 1610-1
form. Failure to return the properly executed document
'within the prescribed time may result in the withdrawal of
the offer by the Agency.
Please reference the EPA interagency agreement number
in future correspondence on this agreement. If you have
any questions regarding this agreement, please
contact of my staff, on FTS 475-8270.
Sincerely,
Thomas L. Hadd, Chief
Grants Information & Analysis
Branch
Grants Administration Division
cc: EPA Project Officer
EPA Administrative Officer
cc:
Official
Reading
PM-216F:
• Specialist
:Fairchild:475-8270:
4.F-8
-------
SEPT. 1988
U.S. Environmental Protection Agency
Interagency Agreement Policy and Procedures Compendium
, CHECKLIST OF TRAMSMITTAL SHEETS
Upon receipt of each transniittal sheet, the recipient
should place his/her initials und date received in the
blank following the appropriate number after replacing all
affected pages. A break in tho continuity of transmittal
sheets received will indicate nissing revisions.
TS. NO INITIALS/DATE TS. NO INITIALS/DATE
1. 16.
2. ".
3. 18.
4. 19-
5. 20.
6. ' 21.
7. 22.
8. 23.
9. 24.
10. 25.
11. 26.
12. __j 27.
13. 28.
14. • 29.
15. 30.
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