PROJECT OFFICER
TRAINING
FOR
GRANTS
AND
COOPERATIVE
AGREEMENTS
& Printed on Recycled Paper
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I. INTRODUCTION
Overheads
Time/The
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COURSE TOPICS
• INTRODUCTION
• AUTHORITIES
• ASSISTANCE RELATIONSHIPS
• THE FEDERAL GRANT AND COOPERATIVE
AGREEMENT ACT OF 1977
• CATEGORIES OF ASSISTANCE
a PREAPPLICATION ASSISTANCE
• FORMAL APPLICATION REVIEW
• DEVIATIONS FROM EPA REGULATIONS
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COURSE TOPICS (CONTINUED)
• FUNDING
• PAYMENT PROCESS
• MONITORING OVERVIEW
• CLOSEOUT
• NON—COMPLIANCE
• HEADQUARTERS REVIEW & DISPUTES
• SUMMARY
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II
V
OVERVIEW OF
ASSISTANCE 1
• PREAPPUCAT1ON
• APPUCATION
• GOB REVIEW
• PROGRAMMATIC REVIEV
AND RECOMMENDAT1O
• GOB PROCESSING OF AC
I
REEMENT
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OVERVIEW OF ASSISTANCE PROCESS
(CONTINUED) —
• RECIPIENT ACCEPTANCE
OF AGREEMENT
• PROJECT OFFICER MONITORING
OF PROJECT
• CHANGES IN PROJECT IF NEEDED
• FUNDING OF CONTINUATION AWARDS
IF APPROPRIATE
• CLOSEOUT
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(
ASSISTANCE TEAM
COMPONENTS
• PROJECT OFFICER
• RECIPIENT
•GRANTS SPECIALIST
•FMC-LAS VEGAS
• ASSISTANCE COORDINATOR
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TIME LINE
PREAPPLICATION TO CLOSEOUT
Initai Contact by Applicant
PreappUcator Assistance
AppIica on Kit Provided
-a
C,
> -
C,
0 ____ _________
C,
c - f l
0
‘I,
t’)
0
( )
0
‘
*
l
Applica on received by Grants
Operatons Branch (GOB)
GOB Sends Applicaton to Program
Program Sends Funding Recomrner,datjon
to GOB or Rejects Applica on
AwardJObtlgaton Date Followed by 5 day
Congressionaj Nobflca on Period
-Recipient-Accept ,ce otAw d
Project Begin (Start) Date
Contnuaton Award -02 Year
Contriuato,, Award -03 Year
Project End Date
Al Closeout Reports Received by
GOB or Project Officer
Al Closeout Reports Processed. GOB
Sends Recipient Offici Closeout Letter
GOB Receives Audit
• 1
o
a
Audit Resolved
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II. AUTHORITIES
Prescriptive Inform at/on
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AUTHORITIES GOVERNING FINANCIAL ASSISTANCE
CROSSCUTTING STATUTES,
EXECUTIVE ORDERS, AND
0MB CIRCULARS
Programmatic Authority to
Award Assistance for
Specific Purposes
Administrative and Other
Non-Programmatic
Mandates and Guidance
EPA Implementation of
Program and
Crosscutting Requirements
Elaboration Upon and
Clarification of Statutes, Orders,
Circulars, and Regulations
STATUTORY AUTHORITIES
(Clean Air Act, Clean Water Act, etc)
P
R
E
S
C
R
I
P
T
E
N
F
0
A
M
A
I
V
E
EPA REGULATIONS
40 CFR SUBCHAPTER B
(GRANTS AND OTHER ASSISTANCE)
ASSISTANCE ADMINISTRATiON MANUAL.
(Arid Other EPA Guidance Such As
Financial Manag.m.nt Manual, ORD &
Watsr Program Dlr.ctiv.s, etc.)
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III. ASSISTANCE
RELATIONSHIPS
Overheads
Federal Grant & Cooperative
Agreement Act of 1977
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FEDERAL GRANT & COOPERATIVE
AGREEMENT ACT OF 1911
I. PURPOSE
II. DISTINCTiON BETWEEN
• ACQUISITION
• ASSISTANCE
III. DISTINCTION BETWEEN
• GRANT AGREEMENT
• COOPERATIVE AGREEMENT
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ACQUI
S
IT/ON
FOR THE PROCUREMENT, BY PURCHASE, LEASE
OR BARTER, OF PROPERTY OR SERVICES
FOR THE DIRECT BENEFIT OF A FEDERAL AGENCY
Purchaser
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ASS/S TANCE
GRANT
AGREEMENT
CO OPERA TIVE
AGREEMENT
USED TO TRANSFER MONEY, PROPERTY OR SERVICES
OR ANYTHING ELSE OF VALUE TO A RECIPIENT
TO ACCOMPLISH A PUBLIC PURPOSE OF SUPPORT OR
STIMULATION THAT WILL BE OF BENEFIT TO THE PUBLIC
Patron
Partner
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GRANT
A GREEMENT
Recipient will run the project without
agency collaboration, participation or
Intervention.
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EXAMPLES OF FEDERAL INVOLVEMENT THAT IS NOT CONSIDERED
TO BE SUBSTANTIAL
THESE EXAMPLES MAY BE USED ON GRANTS OR COOPERATIVE AGREEMENTS
* EPA APPROVAL OF ANY WORX PLANS PRIOR TO AWARD
* SITE VISITS, PERFORMANCE REPORTING, FINANCIAL REPORTING
AND AUDITS TO ENSURE THAT THE OBJECTIVES, TERMS AND
CONDITIONS OF THE AWARD ARE BEING MET
* AGENCY INVOLVEMENT TO CORRECT DEFICIENCIES IN PERFORMANCE
* REVIEW AFTER COMPLETION OF THE WORK
* ADMINISTRATIVE REQUIREMENTS AS MAY BE INDICATED IN THE
REGULATIONS, 0MB CIRCULARS OR THE STATUTES
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COOPERATIVE AGRE
EMENT
Substantial Federal involvement is
anticipated during the project.
Defined in the assistance award.
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EXAMPLES OF FEDERAL SUBSTANTIAL INVOLVEMENT
DURING THE PERFORMANCE OF A PROJECT
USE OF ONE OR MORE OF THESE EXAMPLES AS A SPECIAL CONDITION
WOULD DEFINE A PROJECT AS A COOPERATIVE AGREEMENT
* AGENCY POWER TO HALT AN ACTIVITY IF DETAILED PERFORMANCE
SPECIFICATIONS ARE NOT MET
* REVIEW AND APPROVAL OF PROJECT PHASES OR STAGES OF WORK,
PRIOR TO THEIR IMPLEMENTATION
* AGENCY REVIEW AND APPROVAL OF PROVISIONS DIRECTLY RELATED
TO THE WORK THAT A RECIPIENT MAY WISH TO ADD TO ANY 0F
IT’S PROPOSED SUBAGREENENTS
* EPA APPROVAL OF KEY PERSONNEL INVOLVED WITH THE PROJECT,
OTHER THAN THE PRINCIPAL INVESTIGATOR
* EPA AND RECIPIENT COLLABORATION DURING THE WORK
* INTENSIVE MONITORING WHICH MIGHT PERMIT AN AGENCY
REDIRECTION OF THE WORK
* THE AGENCY MAY BE REQUIRED TO PROVIDE EQUIPMENT OR WORK
OUTPUT TO THE RECIPIENT BEFORE THE TASKS DEFINED IN THE
SCOPE OF WORK CAN BE COMPLETED
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P1 BLIC L.\’ 95- fl—FEB 3. t978 92 STAT 3
P’ihh La ‘ —224
) th Cnngres
tfl tCt
• ..i • • i. it iii: .nij . w i .r sIuruut rvIJl I •u t ipi tr’u.a Feb 3 198
it ilrJtiirC’ulnc r LIUVIIILLIpS .ILII (Or vr vf (H R 76911
‘‘I ‘ 1 “y ,/ . • • ,° i ‘. / f/n ,, , t • ,, / .i(i vt ‘ o r ( /ie
I ,..,. .1 ‘‘ ‘ I , I . ,. , “., , • ,,.. , , ,/‘/ ‘I. fl,u Ii i I • Federal Cs t
t C lie 1 tiieLJ 1 ui ant .iiid ( onpet ir I ‘.e ‘t t enieiit \ r if md Cooperative
‘tgtllenl kct of
fI’Ui\ i. — t\ii Ft UF’—L LscsoL note
I lie ( ngt e— nIi I — tliit— 41 USC 301
1) rliLce nteil to di ciiigut—i.i ErIkIUI j. i Cin e telguori—
—,Lij) . ttiLiii h’iii.il (u .k Iit.iuiOiit t .I.ittoui .Iiiiu itid riieitbv to
I iiif thu . IulI,lIIlII ’ iF lr ,il u—hit—
iii iir “hi. :rh c —1k I I I• itiuii—hi 1 ,—.
2) ‘.ti : flilit .i (0 (!n llR .LllIIi of —ii Ii tul iii. ii “.ouct t ,
_i lilt .&iid n i,. r .&rI. , i it , tii uic iiiul thy Itlut(ion lilp3 ch,.v
cerle ui— •— • ‘•i . tiuiui.il ii ‘uii I CeiieuP—. on (i—ion. inethc’iencv.
md o ,i.n lot ii. (nuIIN if .i ’t . uls 1— oIl .1— for u et lurtu’ agtn—
. i . intl
I ih ( ,i 1i 1I 1 1 1 1 1 1u 1 flit (0 ’tIlIiuiiit i’m. ulfliiiittf Ia — •Iuiv i i .
cieiict’L thito tiiiuiiii •tfld iuticjiiuic, ( tliir .a crilit tion of rlit y j.(—
I ii Ilhufl i — t’nu t . I ni fti ion. tiwihe tent ‘ • .t nil o te i fc& ibIe
irid ti ——tr iii OII2 i kL ’i I1Cit e t (ion.
(.1 flit puIr(u . i ,trhi. \tt iii’—
1) to u.li.tt item cze C lie i Ia IOn (ai p b .t “ eit the Federm I Gov-
i ncin•nc and ‘lilt r .it tor’ . race •ind Ilk .iI go ci nmelits. intl oilier
I pien— in tli .tcqu acion of propet t and —er tce in the
furtii hin z of •i i tince ht the Fci leral (‘rot irnnient —o a— to pro—
nicute .m better iinukrsranding of Fe(er.il pcnding and lielti eliiii,-
U ite linnet t—— mi tc(nmilil,ru •iti e lequitietiwnts On r ipients of
Fibral a ” iruls.
i 2 to t..ral,ii’h (rot ern,iient-widc riterma for ‘election of appro-
priate Ic2,tl insrnhiuiPrus to acliteye uinmforiciirv in the use by the
. eeiicite .*gencte of —itch iIi trun ient—. .i heir definition of the
rel.itinn.liip they nefiect. and a herter iinuier.tandtng of the
c .pini —ih,hirie” of rite parties:
(3) to P’°’°° tnt i-eased tliseiphiiw in tiw —elei non and ii e of
i of ronrtaut. grant .igrvcnienr. md ooperntit e igre.nient
imiul to , ,i inii e coniperition in the award of enntrn&tS end
encourage competition, where deemed .mppropriate. in the aetard
of grants and cooperative a reenients: and
(4) to require a studs- of the reiationhip between the Federal
Government and grnnte. and other reeipienr in Federal asai-
anee progrniii and the fen .uhihitv of deteloping a comprehensive
syW .m of guideline for the use of grant and cooperative agree-
menta. and other forms of Federal as .si tance in carrying out such
programs.
_i3 0 1 2
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92 STAT. 4 PIBLIC LAW 93-224——FEB 3. 1978
N rrto s
41 L C 302 Stc. 3. As used in this Act, the te —
(1) ra governuient” means any of the several States of the
tnired Srate . the Pictrict of Columbia. the Commonwealth of
Puerto Ri j. any territory or possession of the United States. any
agency or lflstrumenta!itv of a State. and any multi-Stare,
teginnal. or inr rstate entity which has governmental functions;
ifl lncal got ernment” means any unit of government within
a State. a cotiiirv. municipality, city, town. to t aship. local public
authority, special district. intrastate district, council of govern-
ments. sponcor group representative organization, other inter-
st.ite 2o’ernment entity, or any other instrumentality of a local
government:
(3) “other recipient” means any person or recipient other than
a rate or local got ernment who is authorized to receive Federal
assistance or procurement contracts and inc’udes any charitable
or ediicritional institution:
(4) “e’teciiuve azency” means any executive department as
defined in cecrion lfll of title 3. United States Code, a military
department as defined in section 102 of title 5, United States Code,
an independent ecrablishment as defined in section 104 of title 5,
United States Cride (except that it shalt not include the General
Accounting Office), a wholly owned Government corporation;
and
(3) “grant or cooperative agreement” doe, not include any
actN ’ment tinder which only direct Federal cash IS8L ’ttar ice
to i,tdiv. tilital.. a subsidy, a loan, a loan guarantee, or insurance is
prot ided.
c’s or CON rac-ra
41 LSC 303 Sac 4. Each e eci1tive agency shall use a type of pr urement con.
tract as the legal instrument reflecting & relationship between the
Federal Government and a State or local government or other
recipient—
(1) whenever the principal purpose of the instrument is the
acquisition, by purchase, lease, or barter, of property or services
for the direct benefit or use of the Federal Government; or
(2) whenever an executive agency determine, in a specific
instance that the use of a type of procuremr’tt contract is
appropriate.
v ia os ca. i-r ou ,-’
41 LSC ‘ 0 Sac. 5. Each executive agency shall use a type of grant agreement Li
the legal instrument reflecting a relationship between the Federal Gov.
ernment and a State or local government or other recipient whenever—.
(1) the principal purpose of the relationship is the transfer of
money, property, service,, or anyth1n of value to the State or
local government or other recipient in order to accomplish a pub-
lic purpose of support or stimulation authorized by Federal
statute, rather than acquisition, by purehaae, ease, or barter, of
property or service, for th, direct benefit or use of the Federal
Government: arid . . -
(2) no subetaritial involvement is antiripated hetween the
executive agency, acting for the Federal Governm.at, and th.
State or local government or other recipient during performanos
of the contemplated activity.
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PLBLIC LAW 93—224——FEB 3. 19T8 92 STAT 3
C5E OF LO )rER TI E \.REE)1E Ts
5cc. 6. Each eiecurive a encv hal1 u a type of cooperau e gree• 1 USC 505.
rnent as the legal instrument rerlecting a relationship between the Fed.
era! Go”ernnient and a State or local g ’ ernment or other recipient
whenever—
(I) the principal purpose of the relationship is the transfer of Trs zi(er,
money. property. services. or an rhing of vatue to the State or
local ot ’ernnient or other recipient to accomplish a public piir.
pose of support or stimulation authorized by Federal tatiite.
rather than acquisition. by pun’hase. lease, or barter, of property
or ervires for the direct benefit or ii’e of the Federal Go ert.
merit: and
2) iihstaiitial in nh ement is anticipated h twe.n the e ec’i•
r i m ’v. ring for rhe F’p’lpril Cro r’t nmpnt. and the State or
local gO%erflment or other recipient liirin performance of the
ronteiiiplated acti’. itv.
11ItORIZ r!o’ s
Ste, ‘. (a) Notwithstanding any other provision of law, each ex u co. e p i
ru e .1t i’nc iuthnrized by law to enter into contracts. grant or coopers. or
tui a agreeiiienrs. or similar arrangements is authorized and directed to
i nter into and use types of conrractc. giant agreements. or cooperative 4 USC 506.
agrremenrs a required by this Act.
(b The authority to make contractS. grants. and cooperative agree. S. efic
inents for the conduct of hacic or applied scientific research at non. re it .
profit institutions of higher education, or at nonprofit organizations
nlinse lirimar ’ piirpo . i the conduct of scientific research shall
jiucluide li-eretirniat v .tnthnr,tv. t’hert it is deemed by the head of the
executIve agency to be itt furtherance of the ohiectives of the agency,
to test in uch institutions or orzanizatinn . without further obliga.
cion to the Government. or on such other terms and conditions as
(teemed appropriate, title to equipment or other tangible personal
lroperty purchased s ith such funds.
sTtnr or FTflCR.sI. ‘sisr ’ r PR’wL ite
Src. S The Director of the O ce of Manazc’menr and Budget. in 41 USC SOT.
oopernuion with the e ecuinve agencie . shall uinnertake a study to
a better iiniler’itanding of .ilternative nivuins of implementing
‘etleral a istance prvgTiiuis, and to determine the fea.sibulity of devel.
a coiiiprehen.sive system of guidance for Federal assistan
jrograuis. uch study shall include a thorough cun.sideration of the Co.tae .
rinthngs and recoiuuiendattoris of the Conimi. 1 .sion on Uovernment
Pmcurvnent relating to the iea.sibihcy of develuping such a system.
Tb. Dtrector shall consult with and to the extent practicable, involve Co...uitseos.
teplesentatives of the executise agencies, the Congress, the General
. c nting O&e, and State and local go ernnieuts, other recipients
and other interested irtenibers of the public. The result of the study R.poet
shall be reported to the Committee on Goi.ernnueiut Operations of the CO C NS OS1A
House of Representatives and the Coniunittee on (kwernmeiital Affairs
of the Senate at the earliist practicable date, but in no event later than
two years after the d.ate of enactment of tins Act. The report on the,
tudy shall include (I) detailed descriptions of the alternative means
of tiuplentennng Federal assistance programs end of the circunisLan
in wluciu th. use of each appears to be moet desirable, (2) detailnd
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92 STAT. 6 P1.81 IC L& 95-224——FEB 3. 19T8
• lC Ciiptloii — e,f hi—c h. ri t’ ri —t ic rn. I n out tine of Ltt. I i Conipre.
e -teni or ..lin fir h’.ln I t--i -r Itn. 1 I” triuii .. thi. k.i l.
OL)nirnt of thieh :ti. bi’ Ii— .rnitrt .{ fr .i•thh.. ml ti ie.niiiitn.ndation.
concerning arr ui. rflenr, ro r .roce d ith r’te full •le elo nient of -itch
• omprelien .it e - -rein of iiitL&n e •nn l for such administrative or
rntutut .aiig —. ni lii .lin ’ “Itaing. ri the pi n n—ini of sections 3
through of this t. :i i.iv 1e dcenited JpproprLlce on the b.isi of the
tindtn of the t
(.1 tu)p1L .I .
41 LSC 308 ‘ . [ he f.’ir rr r of the () ce of Mana vniient and Budget b
.iutttorized to i uie upplemeRrar Itlr rpii .t .iri’ e guidelines to prouitoce
uoI1 Ist& nr .in .t *icitnt ui e of contr tcr. rattts a reenient. and coopera.
tue ri reeniuen . ris iL -lined in rIii Act.
R) F U \O lt t PKO L 5io 5
Repeal. effecnne . 10. (a) The Au ni tried “An . .t to ututtliorize the e pendituire
date of funui thrtuui lu grtnt, for support of cieiit ific rvc4arch. and for other
Puurp ses. .ipproi-ed epretiiber 6. [ ‘ 8 1 2 stat. l7 3: 42 U S.C. 1891
niui 1 92). is repc led. effei tii e one sear after the . date of nactnient of
this . .ct.
41 ISC 301 note (b) N’othing in Flit. Art -1 14 1 1 con rued to render void or voidable
riv e i tlnZ contract. 1raitt. rnoperat l%e agreement, or other contract,
rant. or cooperattu . agreeuluent etitered into up to one veer after the
late of enactment of rlii Act.
i 1sc 309 i ) Yotlung in this Act huall require the estabhi hment of a single
rilatioii hip bitweeri the Federal Go eri,,inent iid a State or local
overnnient or oilier recipient on a jointly funded project, in olving
futnuls front move than one pingram or appropriation where different
reluttinn litps would otherwise be appropriate for different component s
of the project.
Excepted (ii) The Director of the O ce of fanagement and Budget may
except mdi ’. idnal tran actions or progranis of any e ecut1ve agency
41 USC 301 iou from the application of the provisrort of this Act. this authority shall
Expiration date expre one year after receipt by the Congress of the study provided for
in sectionS of this Act.
Approved February 3. 1978.
LEGISLATIVE HISTORY
HOUSE REPORT 95-481 (Co . as Co’u,mq Osneo
SENATE REPORT No. 9S-44Q a o .pm.yie S. 431 (Co. . .o. Govm .,.ua Affaanl.
CONGRESSIONAL RECORD.
VoL 123(197Th Sips. 27. couadeued s.d ps.m.d Hoo..
Oct. 1. cassadmed s .d passed Sesass. a...did i M o( 3.
431.
Vol. 124 (L978) is a. 19. Hoss. sç..d Sosa sand ..st.
0
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IV. CATEGORIES OF
ASSISTANCE
Overheads
Regulatoty Authorities
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CATEGORIES OF ASSISTANCE
• RESEARCH (H)
• DEMONSTRATION IS)
• TRAINING m
• FELLOWSHIPS (U)
• SENIOR ENVIRONMENTAL
EMPLOYMENT PROGRAM 1W
• SURVEYS. STUDIES.
INVESTIGATIONS IX)
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CATEGORIES OF ASSISTANCE
I. RESEARCH (R)J(CR) AND DEMONSTRATION PROJECTS (S)/(CS )
* 40 CFR Part 30 - General Regulation for Assistance Programs
40 CFR Part 40 — Research and Demonstration Grants
Initial Award -- Budget Period can not exceed 2 years
except Demonstration projects with
Construction [ 40 CFR 40.125-1(a))
Project Period can not exceed 5 years
[ 40 CFR 40.125—1(b)]
Object Class Code: R = 41.41 CR = 41.42 s/Cs = 41.45
II. TRAINING (T)/(CT )
* 40 CFR Part 30 - General Regulation for Assistance Programs
40 CFR Part 45 — Training Assistance
Initial Award —— Budget Period & Project Period can not
exceed 3 years [ 40 CFR 45.140)
Object Class Code: T/CT = 41.21
III. FELLOWSHIPS (U )
* 40 CFR Part 30 - General Regulation for Assistance Programs
40 CFR Part 46 - Fellowships
Initial Award —— Full time students can not exceed 1 year
[ 40 CFR Part 46.165(a)]
Part time students can not exceed 3 years
[ 40 CFR Part 46.165(b))
Object Class Code: 41.25
IV. SENIOR ENVIRONMENTAL EMPLOYMENT (SEE) PROGRAM (CO )
40 CFR Part 30 — General Regulation for Assistance Programs
Initial Award -- Budget Period and Project Period can not
exceed 3 years [ GAD Policy]
Object Class Code: 41.83
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V. SPECIAL PURPOSE PROJECTS (X)/(CX )
* 40 CFR Part 30 - General Regulation for Assistance Programs
Initial Award —— Budget Period can be 2 years or 3 years
Project Period can not exceed 5 years
[ GAD Policy)
Object Class Code: X/CX = 41.83
* Recipient’s Classified as STATE AND LOCAL GOVERNMENTS
are not subject to 40 CFR Part 30. They are subject to:
40 CFR Part 31 — Uniform Administrative Requirements for
Grants & Cooperative Agreements to State
and Local Governments.
Budget Period and Project Period limitations are
applicable as noted above.
NOTE: BUDGET PERIODS AND PROJECT PERIODS MAY BE EXTENDED
THROUGH A FORMAL ASSISTANCE AMENDMENT
(See Monitoring Section)
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BUDGET PERIOD
THE LENGTH OF TIME EPA SPECIFIES IN AN ASSISTANCE
AGREEMENT DURING WHICH THE RECiPIENT MAY
EXPEND OR OBLIGATE FEDERAL FUNDS.
PROJECT PERIOD
THE LENGTH OF TIME EPA SPECIFIES IN AN ASSISTANCE
AGREEMENT FOR THE COMPLETION OF ALL PROJECT WORK.
THE PROJECT PERIOD MAY BE COMPOSED OF MORE THAN
ONE BUDGET PERIOD.
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V. PREAPPLICATION
ASSISTANCE and
FORMAL
APPLICATION
Overheads
Application Checksheet
Guidelines for
Extramural Reviewers
Assistance Application Kit
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PREAPPLICATION ASSISTANCE
* RELEVANCE TO EPA GOALS
*z ASSISTANCE vs. ACQUISITION
* STATUTORY AUTHORITY
4( COST SHARING
4 APPUCABLE COST PRINCIPLES
4 DUPUCATION OF OTHER PROJECTS
* TECHNICAL SOUNDNESS
* INTERGOVERNMENTAL REVIEW -
EXE UTIVE ORDER 12372
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PREAPPLICATION ASSISTANCE (CONTINUED)
* QUAUTY ASSURANCE
* PROCUREMENT UNDER ASSISTANCE
* INDIRECT COST RATE
* DISADVANTAGED BUSINESS ENTERPRISES
(DBE) UTIUZATION
* DRUG FREE WORKPLACE CERTIFICATION
1* LOBBYING CERTIFICATION
DEBARMENT/SUSPENSION CERTIFICATION
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FORMAL APPUCATION REVIEW
4 EUGIBLE APPUCANT
* ORIGINAL SIGNATURE
4< REQUIRED NUMBER OF COPIES
* NARRATIVE STATEMENT
* QUAUTY ASSURANCE STATEMENT
* BIOGRAPHICAL SKETCHES
* PROCUREMENT SYSTEM CERTIFICATION
* INTERGOVERNMENTAL REVIEW -
EXECUTIVE ORDER 12372
* DEBARMENT/SUSPENSION CERTIFICATION
* LOBBYiNG CERTIFICATION
* DRUG FREE WORKPLACE CERTIFICATION
* DISADVANTAGED BUSINESS ENTERPRISES
(DBE) UTILIZATION
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(dll;sI
FORMAL APPLICATION REVIEW CONTINUED
HUMAN SUBJECTS
* ANIMAL SUBJECTS
* COMPUTER EQUIPMENT/STUDY APPROVAL
* ALLOWABIUTY OF COSTS
* CONSULTANT COSTS
* PRINTING COSTS
* ITEMIZATION OF COSTS
4 COST ANALYSIS
* EQUIPMENT OVER $10,000
* INDIRECT COST RATE
* COST SHARING
* FOREIGN PROJECT
... \.
‘I
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PROGRAMMATIC REVIEW OF APPLICATION
• RELEVANCE OF APPUCATION
• AGENCY!PROGp OBJECTIVES
AND PRIORITIES
• AVAILABIUry OF FUNDS
• TECHNICAL OR SCIENTIFIC
MERIT
• REVIEWS
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APPLICATION ADHINISTp. .ATI REVIEW
1.0. Number: New X Revision
A. .L LLLLAL APPLICATION RECEIPT (see NOTES if “NO” is checked)
1. Eligible Applicant (ACT(S)): ______ YES NO
Profit Nonprofit State/Local
Original Signa .- YES NO
SF 424 Form (All items addressed) YES NO
SF 424B Assurances Submitted YES NO
Required Copies of Applica 0 YES NO
Narrative Statement for Assistance YES NO
Quality Assurance Statement YES NO
Biograph c Sketch YES NO
Budget and Project Periods Allowable YES NO
Procurement System Certification YES NO
Suspension & Debarment Certification YES NO
Drug-Free Workplace Certification YES — NO
Lobbying Certification (Appi. over $IOOK) YES NO
ITEM CHECK (see NOTES if “YES” is Checked)
1. Need Applicant: Name, Address, Location YES
2. Project Manager YES
3. Foreign Award (State/On Approval) YES
4. E.O. 12372 Intergov. Review Requir YES
5. Deviation Request (Pt. 30.1000—1005) YES
6. Human Subjects (SF 424B Assur./OHR) YES
7. OIRZI Review (Hardware + Software) YES
8. Proprietary Information YES
9. Relocation or Flood Insurance YES
10. Historical Preservation Sites YES
A .ance 11. Animal Subjects YES
Allowable
1.
ANALYSIS (see NOTES if “YES” checked)
Total
Allocable
2.
Project Costs $______________ EPA Amount
Reasonable
3.
Total Budget Costs $_______________ EPA Amount
Cost
$_
$______________
Detailed
Budget Costs
4.
5
6:
7.
8.
9.
10.
11.
12.
Sharing is: Fed. Need revision?YES
Need Itemized Budget (see list below) YES
Unallowable Costs (specify below) YES
—
Consultant Costs YES
—
Printing Costs (James Anderson 382—2125) YES :
Cost Analysis Required YES
Equipment over $10,000 (25k for S&L) YES —
Suba ar over $10,000 (25k for S&L) YES
bC rate must be established? YES
NO
NO
NO
—
NO
—
NO
NO
NO —
NA
NA
NA
NA
NA
NA
NA
NA
—
—
.?A ?r:gra C ce (Technical Review Office) Date Sent
_r -g Specal_ : — Date —
2.
3.
4.
Appi. Instru. 6.
‘ 3
Pt.40.125 9.
Pt.33—Subp. A 10 .
11.
12.
13.
B.
Exec. Orders
Fed. Statute
0MB Circular
EPA Regs.
Pt. 32
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NO
NO
NO
NO
NO
NO
No
NO
NO
NO
NO
D. NOTES
Need:
S ec a
Ca c r s
-------
GUIDELINES FOR EPA REVIEWERS OF PROJECT PROPOSALS
In order to obtain the maximum amount of useful information
from your review of this application; you are requested to address
each of the following points:
1. Objectives of the proposed’project and what benefits
EPA might obtain from it.
2. Comparison of proposed work with other similar efforts
within your own cognizance. Any overlap or duplication
between the proposed work and on-going or completed
projects should be pointed out.
3. Comments on the quality of the proposed work with regard
to the soundness and/or uniqueness of approach and
significance of anticipated results.
4. Comments on the qualifications and competency of the staff
identified for the project in light of their demonstrated
prior performance in the proposed or other research areas.
5. Comments on the adequacy of the support offered by the
applicant’s organization in terms of general facilities,
support personnel and services, library, specific
equipment and/or facilities available to the
investigator, etc.
6. Comments on the appropriateness of the proposed project
period and project budget.
7. Indicate the strengths and weaknesses of the project as
related to the probability of the project accomplishing
the stated objectives.
8. Indicate your recommendations for any suggested
modifications to improve the proposed project.
PLEASE:
Be sure to write the application number at the top of each
page of your review.
Be specific. Provide detailed statements of your response to
each of the requested review points.
Remember at all times that the information contained in the
proposal is privileged and is provided to you solely for the
purpose of review. It is not to be utilized in any other way or
disseminated to anyone other than the person who requested the
review or his designated representative.
-------
VI. DEVIATIONS
(No Handouts)
-------
VII. FUNDING
Overheads
Contents of Funding
Recommendation
Sample Funding Package
Field of Science Codes
-------
CONTENTS OF FUNDING RECOMMENDATION
• FUNDING ORDER
• SPECIAL CONDITIONS
• COMMITMENT NOTICE
• DECISION MEMO
• QUAUTV ASSURANCE STATEMENT
• REVIEWS
• ENVIRONMENTAL REVIEW FORM
(ORD REQUIREMENT)
• REVISEDIADDITIONAL INFORMATION
-------
CONTENTS OF FUNDING RECOMMENDATION
* Cooperative Research and Demonstration Projects requIre (2)
extramural reviews
* Grants require Panel Review
New
Award
Partiai
Funding
Supplemental
Increase
Contnuaton
Decision Memorandum
X
N/A
X
X
Funding Order
X
X
X
X
Speciai Conditions
(rf app cable)
Commitment Notice
X
X
X
X
One In-House Review
X
N/A
X
X
Two Extramural Reviews
X
N/A
N/A
N/A
Environmental Review (ORD)
X
N/A
N/A
N/A
Quality Assurance Review
x
N/A
N/A
X
Any Revised or Additional
Information Negotiated
With Applicant (If applicable)
X
X
X
X
-------
SAMPLE DECISION MEXOP.ANDUX
SUBJECT: Decision Memorandum, Grant Proposal
FROM: Recommending Off icial
TO: Decision Official
I. O 7ECTIVES
The objective of this grant proposal is to determine the
toxicity of selected heavy metals to two representative trophic
levels: Phytoplanktort and brine shrimp.
Dunaliella tertiolecta, Melosira Juerciensia and Heteraansa
killmariaua are proposed for use. Phase I will be devoted to the
study of trace metal response as affected by population density,
ph, temperature, light intensity, and continuous or discontinuous
metal addition. These studies will be conducted in defined media
using the spin filter apparatus described by Himmelfarb J 1 .
Phase II will be a repeat of Phase I except that polluted waters
will be used to demonstrate the effects of variation in water
quality on response. Phase III will include nonequilibrium
experiments which will measure trace metal accumulation in the
brine shrimp due to feeding.
II. RELATIONSHIP 01 THIS PROJECT TO THE PROGRAM’S MISSION
These data will be useful in the development of estuarine
water quality criteria and will lead to quanti ive data which has
applicability to pollution enforcement action.
III. SPICIPIC PROGRAM IDENTIPICATION
This project vii ]. specifically meet the objectives of
Accomplishment Plan #1AA6O1S, of the FY ‘76 Approved Operating
Plan.
-------
IV. EXPLANATION OP ANT APPARENT DUPLICATIVE OR EzCEpg v! EPPQRT8
Although the proposed work appears to duplicate our in-house
research, it is actually an extension of our work. The proposal
describes use of a variety of environmental conditions (especially
in terms of well defined media and special system illumination)
which we are unable to duplicate with our current laboratory
apparatus. We were recently criticized in an enforcement action
because our in-house studies in this area were inconclusive.
V. REVIEWØ
Regional comments (attached) indicate that the applicant has
an excellent reputation in the scientific community, has served as
an expert witness in enforcement actions, and has successfully
completed grant work with NOAA. The proposal has been reviewed by
Professor U. Lose of Fail University, Dr. Buyit of State
University, and Dr. Good of ORD (reviews attached). Dr. Buyit and
Dr. Good concur that this proposal deals with a high priority
problem which has been under intensive investigation in this agency
for several years, and that the general approach adopted reflects
the latest in techniques and knowledge. The particular strengths
of the proposal are:
1. Use of the spin-filter chemostat to model the
circumstances of addition of metals to natural
waters containing plankton allows one to account
for the dilution of both metal and responding
population and for the effects of intermittent
exposure.
2. Recognition of the effects of chelating materials
present in natural waters or excreted by organisms
in respons. to metals stress.
3. Recognition of the influence of environmental
variation on response by test organismS.
VI.
, ,c.i.).. ‘+$ $.%i(.)...)
Although Professor u. Lose basically agreed with the above
reviewers, he made a strong point that the proposed project appears
to duplicat, the work already performed at our laboratory.
Professor U. Lose’s comments are apparently due to the fact that
he is unaware that tho work at our laboratory has not been as
inclusive as he believes. In addition, Dr. U. Lose’s reviews tend
to be characteristically hypercritica’ - of 37 reviews he performed
last year, only one contained positive recommendations.
-------
VII. QUALITY A88UR. NCE
This project meets the Quality Assurance requirements as
stipulated in 30.503.
VIII. RECQ? ENDATI0N
It is recommended that this proposal be funded. The reviews
are primarily positive. The applicant’s available resources,
supplemented with the scintillation counter requested should be
superb for the work proposed. The staff should be considered
competent for the performance of Phases I and II. The principal
investigator, (listed under supportive personnel), has experience
which would qualify him for all phases, especially the mathematical
modeling study.
-------
ASSISTANCE FUNDING ORDER
PROJECT ID NUMBER PROGRAM ELEMENT NO FIELD OF SCIENCE CODE
LICANT
APPROVED DURATION PERIOD DATES
PROJECT PERIOD BUDGET PERIOD
PROJECT TITLE AND DESCRIPTION
APPROVED
BUDGET
(Use eirher Table A or Table 8)
TABLE A
TABLE B
COST CATEGORY CLASSIFICATION
(Nonconstruction)
APPROVED ALLOWABLE
BUDGET PERIOD COST
PROGRAM ELEMENT CLASSIFICATION
(Nonconstruction
APPROVED ALLOWABLE
BUDGET PERIOD COST
PERSONNEL
1
2 FRINGE BENEFITS
2
3 TRAVEL
3
4 EQUIPMENT
4
S SUPPLIES
5
6 CONTRACTUAL PERSONAL
SERVICES
6
7 CONSTRUCTION
7
8 OTHER
8
9 TOTAL DIRECT COSTS
9
10 INDIRECT COSTS
IDC RATE BASE
10
11 TOTAL
11
12 TOTALAPPROVED AMOUNT
12
PROGRAMMATIC SPECIAL CONDITIONS (Use additional sheets ii necessary)
RECOMMENDING OFFICIAL
SIGNATURE
TYPED NAME AND TITLE
DATE
EPA PROJECT OFFICER
NAME AND TITLE
ADDRESS (Include ZIP Code)
TELEPHONE (FTS)
(Commercial)
DE
CISION OFFICIAL APPROVAL
SIGNATURE
TYPED NAME AND TITLE
DATE
EPA Form 5700.14 (Rev 4-84) Previous edulions are obsolete
-------
EXAMPLES OF FEDERAL SUBSTANTIAL INVOLVEMENT
DURING THE PERFORMANCE OF A PROJECT
USE OF ONE OR MORE OF THESE EXAMPLES AS A SPECIAL CONDITION
WOULD DEFINE A PROJECT AS A COOPERATIVE AGREEMENT
* AGENCY POWER TO HALT AN ACTIVITY IF DETAILED PERFORMANCE
SPECIFICATIONS ARE NOT MET
* REVIEW AND APPROVAL OF PROJECT PHASES OR STAGES OF WORK,
PRIOR TO THEIR IMPLEMENTATION
* AGENCY REVIEW AND APPROVAL OF PROVISIONS DIRECTLY RELATED
TO THE WORK THAT A RECIPIENT MAY WISH TO ADD TO ANY OF
IT’S PROPOSED SUBAGREEMENTS
* EPA APPROVAL OF KEY PERSONNEL INVOLVED WITH THE PROJECT,
OTHER THAN THE PRINCIPAL INVESTIGATOR
* EPA AND RECIPIENT COLLABORATION DURING THE WORK
* INTENSIVE MONITORING WHICH MIGHT PERMIT AN AGENCY
REDIRECTION OF THE WORK
* THE AGENCY MAY BE REQUIRED TO PROVIDE EQUIPMENT OR WORK
OUTPUT TO THE RECIPIENT BEFORE THE TASKS DEFINED IN THE
SCOPE OF WORK CAN BE COMPLETED
-------
COMMITMENT NOTICE
NOTE: Preparation arid approva’l of this form does not constitute an obligation of money. The use of this form is intended to guarantee
avp 1ity of money by reserving it for certaui types of specified transactions.
T MMITMENT TRANSACTION IN THE AMOUNT OF S____________________ IS FOR
WHOLE DOLLARS
GRANT (Number A PURCH ASE REQUISITION
OTHER (Specily)
DESCRIPTION OF PROJECT. GOODS. OR SERVICES
NAME OF GRANTEE/CONTRACTOR/VENDOR EMPLOYER DENT NO (EIN)
TASK, ROAP• OR OTHER LOCAL IDENTIFIER
SPECIAL COMMENTS OR INSTRUC7IONS
ALLOWANCE HOLDER APPROVALS (OpIional. at discretion of Allowance Holder)
ALLOWANCE HOLDER TITLE
STAFF APPROVALS
SIGNATURE
DATE
PHONE
—
RESPONSIBILITY CENTER TITLE
FUNDS CERTIFICATION
PREPARED BY
APPROVED BY
SIGNATURE
SIGN ATURE
DATE
DATE
FOR RESPONSIBILITY CENTER USE ONLY
Contract negotiator is is not [ authorized to exceed amount shown above by up to 10% without securing further approval for funds.
THE AMOUNT OF MONEY SHOWN IS
AN INCREASE TO A A DECREASE TO A
AN ORIGINAL COMMITMENT PREVIOUS COMMITMENT PREVIOUS COMMITMENT
FINANCIAL DATA (See :nstructzona on reverse before (:ll,n out)
APPROPRIATION
FMO USE
DOCUMENT
CONTROL NO
ACCOUNT NUMOER
OBJECT
CLASS
DOLLAR AMOUNT
-;-•;-
; ;- -
7;-
7181
2
4353
673
8394
0414
2434
4454
6474849
5 1 T5253
5455
56
2
2
04
0
0
0
0
0
0
40
——
——
0
0
0
0
2
0
40
0
0
0
0
. .-—-—-
-
--
0
0
0
A CONTRACT
EPA Form 2550.9 (Rev. 4-74)
PREVIOUS EDITION IS OBSOLETE
-------
IN ST RU CT IONS
FINANCIAL DATA
RESPONSIBILITY CENTER
1. Enter the document control number in blocks 15 thru 20
2. Enter the account number in blocks 31 thru 40
3. Enter the two-digit major object class in blocks 41 and 42 (If mote than one major Object Class
is needed, you must fill out mote than one tine of financial data)
4. Enter the dollar amount in whole dollars (ignoring cents) in spaces 45 thru 54. (e.g. $98 is
entered as 0000000098, not as 9800000000, $45,000 is entered as 0000045000, etc.)
S. Enter the appropriation symbol in the blank space immediately above the account number
FINANCIAL MANAGEMENT OFFICE:
1. Insert your finance office identifier in blocks 2 and 3
2. Enter the date processed in blocks 4 thru 9
3. Enter the proper reverse code in block 13
4. Check blocks 15 thru 54 for completeness before keypunching
EPA Forv,i 2550.9 (Re 4.74)
-------
IN-HOUSE REVIEW
MEMORANDUX
StJ5JECT: Review of Assistance No.
FROM: In-House Reviewer
TO: EPA Project Officer
I. OBJECTIVES — Give a brief description of the project
objectives
II. EXPLANATION 01 ANT APPARENT DOPLICATIVE OR EXCESSIVE
E710RT
III. STRENGTHS AND WEAKNESSES OP PROPOSAL
IV. RELATIONSHIP TO EPA MISSION
V. RECOMMENDATION
-------
GUIDELINES FOR EPA REVIEWERS OP PROJECT PROPOSALS
In order to obtain the maximum amount of useful information
from your review of this application; you are requested to address
each of the following paints:
1. Objectives of the proposed project and what benefits
EPA might obtain from it.
2. Comparison of proposed work with other similar efforts
within your own cognizance. Any overlap or duplication
between the proposed work and on-going or completed
projects should be pointed out.
3. Comments on the quality of the proposed work with regard
to the soundness and/or uniqueness of approach and
significance of anticipated results.
4. Comments on the qualifications and competency of the staff
identified for the project in light of their demonstrated
prior performance in the proposed or other research areas.
5. Comments on the adequacy of the support offered by the
applicant’s organization in terms of general facilities,
support personnel and services, library, specific
equipment and/or facilities available to the
investigator, etc.
6. Comments on the appropriateness of the proposed project
period and project budget.
7. Indicate the strengths and weaknesses of the project as
related to the probability of the project accomplishing
the stated objectives.
8. Indicate your recommendations for any suggested
modifications to improve the proposed project.
PLEASE:
Be sure to write the application number at the top of each
page of your review.
Be specific. Provide detailed statements of your response to
each of the requested review points.
Remember at all times that the information contained in the
proposal is privileged and is provided to you solely for the
purpose of review. It is not to be utilized in any other way or
disseminated to anyone other than the person who requested the
review or his designated representative.
-------
ENVIRONMENTAL. REVIEW FOR EXTRAMURAL PROJECTS
(.GINIRAL INFO MA11ON
I . O($C IPTI VS vyi.g AGC(( M O
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-------
CODES FOR FIELDS OF SCIENCE AND ENGINEERING
The fields of science and engineering are grouped into eight broad field
categories, most of which consist of a number of detailed fields. Shown below
are codes for 35 science and engineering fields, together with examples of the
disciplines under each of these fields. The illustrative listing of disciplines
is designed as a guide for the classification of projects according to the
prescribed codes.
CODE
PHYSICAL SCIENCES
11 Astronomy: Laboratory aBtrophysics; optical astronomy; radio astronomy;
theoretical astrophysics; X—ray; gama-ray, neutrino astronomy
12 Chemistry: Inorganic; organometallic; organic; physical
13 Physics: Acoustics; atomic and molecular; condensed matter; elementary
particles; nuclear structure; optics; plasma
19 Physical Sciences, n.e.c.*
MATHEMATICAL/COMPUTER SCIENCES
21 Mathematics: Algebra; analysis; applied mathematics; foundations and
logic; geometry; numerical analysis; statistics;
topology
22 Computer Sciences: Computer programming; computer and information
sciences (general); design, development, and
application of computer capabilities to data
storage and manipulation; information sciences
and systems; systems analysis
29 Mathematical/Computer Sciences, n.e.c.*
ENVIRONMENTAL SCIENCES (TERRESTRIAL AND EXTRATERRESTRIAL
3]. Atmospheric Sciences; Aeronomy; solar; weather modification;
extraterrestrial atmospheres; meteorology
32 Geological Sciences: Engineering geophysics; general geology; geodesy
and gravity; geomagnetism; hydrology; inorganic
geochemistry; isotopic geochemistry; organic
geochemistry; laboratory geophysics;
paleornagnetism; paleontology; physical geography
and cartography; seismology; soil sciences
33 Oceanography: Chemical and biological oceanography; geological
oceanography; physical oceanography; marine geophysics
39 Environment Sciences, n.e.c.*
-------
ENGINEERING
41 Aeronautical: Aerodynamics
42 Astronautical: Aerospace; space technology
43 Chemical: Petroleum; petroleum refining; process
44 Civil: Architectural; hydraulic; hydrologic; marine sanitary and
environmental; structural; transportation
45 Electrical Communication; electronic; power
46 Mechanical Engineering mechanics
47 Metallurgy
and Materials: Ceramic; mining; textile; welding
49 Engineering,n.e.c.*: Agricultural; industrial and
management; nuclear; ocean
engineering systems
LIFE SCIENCES
The life sciences consist of five detailed fields: biological (excluding
environmental), environmental biology, agricultural, medical and life sciences
not elsewhere classified. The illustrative disciplines provided below under each
of the detailed fields are intended to be guidelines, not sharp definitions, as
to what should be reported under a particular field; they represent examples of
disciplines generally classified under each detailed field. A discipline,
however, may be classified under another detailed field when the major emphasis
is elsewhere. Research in biochemistry, for example, could be reported as
biological, agricultural, or medical, depending on the orientation of the
project; human biochemistry should be classified under biological, but animal
biochemistry or plant biochemistry should be under agricultural.
51 Biological Sciences: Anatomy; biochemistry; biology; biometry and
(Except Environmental biostatistics; biophysics; botany; cell biology;
Biology) entomology and parasitology; genetics;
microbiology; neuroscience (biological); nutrition;
physiology; zoology; other biological, n.e.c.*
54 Environmental Biology: Ecosystem sciences; evolutionary biology;
limnology; physiological ecology; population
biology; population and biotic community ecology;
systematics; other environmental biology, n.e.c.*
55 Agricultural Sciences: Agronomy, animal sciences; food science and
technology; fish and wildlife; forestry;
horticulture; plant sciences; soils and BoLl
science; phytopatho logy; phytoproduct ion
56 Medical Sciences: Internal medicine, neurology, obstetrics and
gynecology; ophthalmology, otolaryngology;
pediatrics; preventive medicine; pathology;
pharmacology; psychiatry; radiology; surgery;
dentistry; pharmacy; veterinary medicine; other
medical, n.e.c.*
(The above classes exclude the psychological sciences as defined elsewhere.>
59 Life Sciences, n.e.c.*
-------
PSYCHOLOGY
61 Biological Aspects: Experimental psychology; animal behavior;
clinical psychology; compar tive psychology;
ethology
62 Social Aspects: Social psychology; educational, personnel,
vocational psychology and testing; industrial and
engineering psychology; development and
personality
69 Psychology, n.e.c.*
SOCIA.L SCIENCES
71 Anthropology: Archaeology; cultural and personality; social and ethnology;
applied anthropology
72 Economics: Econometrics and economic statistics; history or economic
thought; international economics; industrial, labor and
agricultural economics; macroeconomics; microeconomics; public
finance and fiscal policy; theory; economic systems and
development
73 History: Cultural; political; social; history and philosophy
of science
74 Linguistics: Anthropological-archaeological; computational;
psycholinguistics; sociolinguistics
75 Political Science: Area or regional studies; comparative government;
history of political ideas; international relations and
law; national political and legal systems; political
theory; public administration
76 Sociology: Comparative and historical; complex organizations;
culture and social structure; demography; group
interactions; social problems and social welfare;
sociological theory
79 Sociology Sciences, Research in law and education, n.e.c.*;
socioeconomic geography
OTHER SCIENCES, N.E.C.*
99 Other Sciences, n.e.c.*: To be used for multidisciplinary and
interdisciplinary projects which cannot be
lassified within a primary field
* Not elsewhere classified: Includes multidisciplinary projects within the broad
field and single—disciplinary projects for which a separate field has not been
assigned.
-------
VIII. PAYMENT
PROCESS
Overheads
Payment Memorandum
-------
.•
PAYMENT PROCESS
TYPES OF PAYMENT
I. ADVANCE
AUTOMATED CLEARING HOUSE (ACH)
TREASURY CHECK
a REIMBURSEMENT
AUTOMATED CLEARING HOUSE (ACH)
TREASURY CHECK
-------
PAYMENT LIMITATIONS
• RECIPIENT MUST ACCEPT AWARD
• RECIPIENT MAY NOT CHARGE
PREAWARD COSTS
• PAYMENTS MAY NOT EXCEED
AMOUNT AWARDED
• PAYMENTS CAN ONLY BE MADE
TO PAYEE
• EPA MAY WITHHOLD PAYMENTS
FOR NON-COMPUANCE
-------
(tO 3P4
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
_____ WASHINGTON. 0 C. 20460
c
OFFCE Q
rc ’ AQMI IST AICN
£ NO ESCL CES
‘ .IANAGEME r
PAYXENT INSTRUCTIONS
FOR RECIPIENTS OP EPA FINANCIAL ASSISTANCE
The following provides general information about how
recipients of EPA financial assistance receive payment and report
on financial transactions during the course of an EPA supported
project. The following address should be used for all
correspondence regarding financial assistance payments. If you
have any questions after reading the information below, please
write or telephone:
U.S. Environmental Protection Agency
Financial Management Center at Las Vegas
Grants Section
P.O. Box 98515
Las Vegas, Nevada 89193—8515
Electronic Payment (ACH) : (702) 798—3136
Treasury Check Payment: (702) 798—249)
1.. PAYMENT MECR NISM8
As a recipient of EPA financial_assistance, you will receive
payment either electronically or by treasury check. The payment
mechanism is noted in Item 6 of the EPA Assistance
Agreement/Amendment document (EPA Form 5700-20A). If there is any
change in this mechanism, you will be contacted by the Financial
Management Center - Las Vegas (FMC-LV) and provided with additional
information. The payment mechanisms are discussed below:
a. Electronic Pevm. t Through the Auto at.d Clearing
Eo a. Network
Recipients who are paid through this mechanism must enroll
prior to receiving any funds through this process.
Recipients may contact the Financial Management Center —
Las Vegas for additional information regarding electronic
payments.
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Reimbursement
At the discretion of EPA, a recipient may be paid on
a reimbursement basis. Recipients on the
reimbursement method shall request funds for only the
reimbursable portion of their allowable expenditures.
Advance Payment
EPA recipients who are not on the reimbursement
method are eligible for advance payments.
Recipients shall request funds based on immediate
disbursement requirements and disburse funds as soon
as possible to minimize the Federal cash on hand
in accordance with policies established in Treasury
Department Circular 1075, “Withdrawal of Cash from
the Treasury for Advance under Federal Grant and
Other Programs”.
b. Treasury Check
Recipients who do not receive payments electronically
will automatically be scheduled to receive treasury
checks. Recipients must request funds using a SF-270,
“Request for Advance or Reimbursement”.
Reimbursement
At the discretion of EPA, a recipient may be paid on
a reimbursement basis. Recipients on the
reimbursement method shall request funds for
only the reimbursable portion of their allowable
expenditures.
Advance Payment
EPA recipients who are not on the reimbursement
method are eligible for advance payments.
Recipients shall request funds based on immediate
disbursement requirements and disburse funds as soon
as possible to minimize the Federal cash on hand in
accordance with policies established in Treasury
Department Circular 1075, “Withdrawal of Cash from
the Treasury for Advance under Federal Grant and
Other Programs”. Recipients receiving advances from
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—3—
EPA must submit an SF—270 at least quarterly to the
Financial Management Center - Las Vegas. The
SF—270 must reflect program outlays which liquidate
any previous advance (or a portion of it), allow
reimbursement, and/or the issue of another advance.
It is very important that all agreement and amendment
documents are immediately signed and returned to the Grants
Operations Branch (GOB). PAYMENTS CANNOT BE PROCESSED UNTIL
GOB RECEIVES THE SIGNED ACCEPTANCE AGREEMENT/AME)IDMENT.
2. Financial Status Report (FSR )
A final FSR (Form SF-269) is due no lat.r than 90 days after
the end of each budget period. The FSR reports the amount of
unobligated (unexpended) funds remaining at the end of the budget
period. The FSR should be mailed to the Grants Specialist assigned
to your project at the following address:
U.S. Environmental Protection Agency
Grants Operations Branch (PM-216F)
Grants Administration Division
401 M Street, SW
Washington, D.C. 20460
At the discretion of EPA, and upon approval by the EPA Award
Official, unobligated funds may be available for expenditure during
the succeeding budget period of the project or deobligated.
3. Accountability
All recipients are required by regulation to maintain an
adequate accounting system for all project expenditures. Failure
to maintain documentation could result in questioned costs if an
audit is performed. Recipients may be required to refund monies
paid under the assistance agreement for costs that were not
properly recorded.
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4. Funds Owed to EPA
If you receive funds from EPA in excess of EPA’s share of
total expenditures reported on your Final Financial Status Report
or if you owe EPA funds resulting from an audit, you may receive
a Bill for Collection from EPA. This bill is due and payable upon
receipt. Interest will be charged at the current Treasury rate for
all unpaid accounts over 30 days old. Payment of funds owed to EPA
should be mailed to:
U.S. Environmental Protection Agency
Financial Management Center
P.O. Box 371293M
Pittsburgh, PA 15251
5. Interest Owed to EPA
If you earn interest on an EPA advance, you must return it to
EPA unless you are:
(a) A State, or State agency as defined under the
Intergovernmental Cooperation Act (31 U.S.C.
6501 et seq.), or
(b) A tribal organization as defined under the
Indian Self Determination Act (23 U.S.C. 450).
Recipients who are currently enrolled under the ACM electronic
payment mechanism may refund through the EPA-ACM Payment process,
and should consult their EPA-ACM Recipient’s Manual, Exhibit C,
“EPA-ACH Payment Request Instructions”, for the proper
instructions.
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IX. PROJECT
MONITORING
Overheads
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PROJECT OFFICER ROLE IN MONITORING
T- I
.. :‘ )
JT
COMPLIANCE WITH AGREEMENT/REGULATIONS
• TELEPHONE CONTACT
• SITE VISITS
• CORRESPONDENCE
• PROGRESS REPORTS
• DRAFT FINAL TECHNICAL REPORT
• SPECIAL CONDITION MONITORING
PROJECT CHANGES
• FORMAL AMENDMENTS
“INFORMAL’ CHANGES
CONTINUATION APPLICATION REVIEW
CARRYOVER OF UNOBLIGATED FUNDS
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AMENDMENTS
FORMAL AMENDMENTS:
CHANGES:
1) Budget Period and/or Project Period
2)
Assistance Amounts -
• Increases (Partial/Supplemental Fun ding)
• funds committed in IFMS
• budget from recipient for additional
amount added
• consistent cost sharing
• revised or additional scope of work
• Decreases
V
N
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AMENDMENTS
FORMAL AMENDMENTS:
CHANGES:
3) Rebudgetings
4) Carryovers
5) Name change of recipient
6) Transferring an award to another recipient
7) Additions and/or deletions of special conditions
or project objectives
8) Project Manager
9) Project Officer __
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BUDGET PERIOD
THE LENGTH OF TIME EPA SPECIFIES INANASSISTANCE
AGREEMENT DURING WHICH THE RECIPIENT MAY
EXPEND OR OBLIGATE FEDERAL FUNDS.
PROJECT PERIOD
THE LENGTH OF TIME EPA SPECIFIES IN AN ASSISTANCE
AGREEMENT FOR THE COMPLETION OF ALL PROJECT WORK.
THE PROJECT PERIOD MAY BE COMPOSED OF MORE THAN
ONE BUDGET PERIOD.
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AMENDMENTS
PROJECT MANAGER
BUSINESS
OFFICE
EPA PROJECT OFFICER
A COMPLETE
RE TI
EPA GRANTS COORDINATOR
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CARRYOVER
THE PROCESS OF CARRYING OVER THE
UNLIQUIDA TED BALANCE OF FEDERAL
FUNDS FROM ONE BUDGET PERIOD TO
THE SUBSEQUENT BUDGET PERIOD
WITHiN A GIVEN PROJECT PERIOD
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DRAFT
TRANSFER REQUEST OF
FEDERALLY-OWNED PROPERTY
I recommend that the following Federally-owned
property be loaned to _________________________
for use under assistance agreement ________________
FuH Descnpton of the
Property. Inc udir,g the
Manufact rer s Name EPA Property Number
1.
2.
3.
4.
5.
Signatare of EPA Project Offlcer Skgnatse of EPA Property AdmnsUator
Name: Name:
Address: Address:
Phone No. Phofle No.
DRAFT
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X. CLOSEOUT
Overheads
Pro perty Purchased
Under Assistance
FTRlProperty Memo
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CLOSEOUT
TECHNICAL REPORT
PROPERTY REPORT
FINANCIAL STATUS REPORT
INVENTIONS REPORT
WaR.
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PERSONAL PROPERTY
UNDER EPA ASSISTANCE
PROJECTS
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PE ROpE \
UNDER EPA ASSISTANCE
PROJECTS
Table of Contents
Page(s)
Universities and Non-Profits I
State Governments 2
Local Governments 3-4
All Other Recipients 5-7
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/ ONAIROPERTY UNDER EPA ASSISTANCE PROJECTS
NON-PROFIT INSTITUTIONS OF HIGHER EDUCATION conducting basic
or applied research and NON-PROFIT ORGANIZATIONS whose pnmary
purpose is the conduct of scientific research [ 40 CFR Part 30]
A. Purchase
1. The recipient may purchase personal property if authorized to do so
in the assistance agreement.
2. If a piece costs $10,000 or more the recipient must receive the
Award Official’s prior approval.
3. Title is vested in the recipient subject to the following:
a. EPA may reserve the right to transfer title for property with
an acquisition cost of $1,000 or more to the Government or
a third party any time within the life of the project or within
120 days after project completion. EPA must identify this
property in the assistance agreement or otherwise in writing.
b. If EPA does not reserve the right to transfer UUe the-rectpient
has no other obligations or accountability to EPA.
B. Disposition
1. Non-expendable personai property with a unit acquisition cost of !Q
than $1,000
a. The recipient has no accountability to EPA,
2. Non-expendable personal property with a unit acquisition cost of
Qreater than $1,000
a. If EPA reserves the right to transfer title to the Federal
Government or a third paxty
1) EPA must instruct the recipient to ship the property,
and;
2) EPA must reimburse the recipient for its proportionate
share of the fair market value of the property, plus
reasonable shipping and storage costs.
3. Expendable personal property
a. The recipient has no accountability to EPA.
Page 1
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P ERSONAL P ROPE ATY UND ER EPA ASS ISTANCE P R ECTS
STATE GOVERNMENTS [ 40 CFR Part 31]
A. Title
1. Title to equipment is vested in the recipient subject to the following:
a. EPA may reserve ‘he right to fransfer title for property to the
Federal Government or a third party any time within the life
of the project or within 120 days after project completion.
EPA must identity this property in the assistance agreement
or otherwise in wrWng.
B. Use, Management and Disposition
1. A State will use, manage, and dispose of equipment acquired under
assistance in accordance with State laws and procedures.
2. When titie to equipment is transferred, by EPA, the recipient shall
be paid an amount calculated by applying the percentage of
participation in the purchase to the current fair market value of the
property.
C. Supplies
1. Title to supplies acquired under an assistance project will vest, upon
acquisition, in the recipient.
2. If there is a residual inventory of unused supplies exceeding $5,000
in total aggregate fair market value upon termination or completion
of the award, and the supplies are not needed on other Federally
sponsored activities, the recipient shall compensate the awarding
agency for its share.
Page 2
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/ PERSONAL PR0 UNDER EPA ASSISTANCE PR ECTS
LOCAL GOVERNMENTS [ 40 CFR Part 31]
A. TiUe
I 1. Title to equipment is vested in the recipient subject to the following:
I a. EPA may reserve the right to transfer title for property to the
I Federal Government or a third party any time within the life
I of the project or within 120 days after project completion.
I EPA must identity this property in the assistance agreement
or otherwise in writing.
B. Use
1. Equipment shall be used by the recipient in the program or project
for which it was acquired as long as needed, whether or not the
project or program is supported by Federal funds.
2. When nc , longer needed for the original program or project, the
equipment may be used in other activities currendy or previously
I supported by a Federal agency.
3. The recipient must follow the Property Management Standards of 40
CFR 31.32 (d).
C. Supplies
1. Title to supplies acquired under an assistance project will vest, upon
acquisition, in the recipient.
2. If there is a residual inventory of unused supplies exceeding $5,000
I in total aggregate fair market value upon termination or completion
of the award, and the supplies are not needed on other Federally
sponsored activities, the recipient shall compensate the awarding
agency for i share.
Page 3
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NAL PROPERTY UNDER EPA ASSISTANCE PR ECTS
LOCAL GOVERNMENTS [ 40 CFR Part 31]
0. Disposition
1. When originai or replacement equipment is no longer needed for the
original project or program or for other activities currently or
previously supported by a Federal agency:
a. Items of equipment with a current per-unit fair market value
of less than $5 O0O may be retained, sold or otherwise
disposed of with no further obligations to EPA.
b. Items of equipment with a current per-unit fair market vaiue
of $&000 or more may be retained or sold and the awarding
agency shall have a nght to an amount calculated by
muI plying the current market value or poceeds from sale
by EPAs share of the equipment
c. When title to equipment is transferred, by EPA, the recipient
shall be pad an amount calculated by applying the
percentage of participation in the purchase to the current fair
market value of the property.
Page o
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/ P AL PROPERTY UNDER EPA ASSISTANCE PR ECTS
ALL OTHER RECIPIENTS [ 40 CFR Part 30J
A. Purchase
1. The recipient may purchase personal property if authonzed to do so
in the assistance agreement.
2. If a piece costs $10,000 or more the recipient must receive the
Award OtficiaJ’s prior approval.
3. Title is vested in the recipient subject to the following:
a. If the acquisibon cost is $10.00 or more, the recipIent must
assure that EPA’s interest is adequately reflected and
protected in compliance with au recordatlon or registration
requirements of the Uniform Commercial Code.
b. The recipient must follow the Property Management Standards
of 40 CFR 30.531.
c. EPA may reserve the right to transfer title or property with
an acquisition cost of $1,000 or more to the Government or
a third party any time within the life of the project or within
120 days after project completion. EPA must identify this
property in the assistance agreement.
d. The recipient must follow disposition requirements of 40 CFR
30.532.
B. Use
For all personal property purchased with assIstance funds, the
recipient must adhere to the following:
a. The property must be used in the EPA project for which it
was acquired as long as needed, whether or not the project
continues to be supported with EPA funds.
b. If it is not needed on the original project the property can be
used on other EPA project.
c. If the recipient does not have other EPA projects the recipient
may use the property for other Federally-funded projects.
Page 5
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/ PAL PROPERTY UNDER EPA ASSISTANCE PR ECTS
ALL OTHER RECIPIENTS [ 40 CFR Part 30)
C. Disposition
If EPA reserves the right to transfer title of any non-expendable
personai property with a unit acquisition cost of greater than $1,000
to the Federal Government or a third party;
a. EPA must instruct the recipient to ship the property, and;
b. EPA must reimburse the recipient for its proportionate share
of the fair market value of the property, plus reasonable
shipping and storage costs.
2. If the recipient wishes to use the property on other than Federally
funded activities, it must follow these rules for disposition:
a. Non-expendable personal property with a unit acquisition cost
of less than $1 . 000
1) The recipient, except for a profit maker, may keep the
property or sell it and keep the proceeds. There is
no further accountability to EPA.
2) If profit making organizations keep the property or sell
it they must reimburse EPA for its proportionate share
of the current fair market value.
b. Non-expendable personal property with a unit acquisition cost
of $1 .000 or more
1) The recipient may keep the property, provided they
compensate EPA for its proportionate share of the
current fair market value.
c. Expendable personal property with a total aggregate fair
market value of $1 ,000 or more
1) The recipient may keep the property or sell it if EPA
is reimbursed for its proportionate share of the current
fair market value.
Page 6
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PERSONAL PROPERTY UNDER EPA ASSISTANCE PROJECTS
ALL OTHER RECIPIENTS (40 CFR Pan 30J
C. Disposition (continued)
3. If neither the recipient nor EPA has a need for the property, EPA
must report the fact to the General SeMces AdminIs ation to
determine whether a need exists in another Federal agency.
a. If a need exists elsewhere, the recipient will be instructed
where to ship the property and will be reimbursed for its
proportionate share, plus reasonable shipping and storage
costs.
b. It the property is not needed elsewhere, the recipient must
sell it and reimburse EPA for its proportionate share of the
sales proceeds less any reasonable handling expenses.
Page 7
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— O Sr 4 ,
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON 0 C 20460
•
Closeout of Project Number:
Grant Specialist
Project Officer
The subject project ended on __________________. To expedite
closing out the project would you please answer the checked items
below and return this sheet to me. For your convenience, my fax
number is area code 202-252—0728.
Initructionn for Diapoiition of Iqui..nt
I have not received the Equipment Inventory for this
project.
I have reviewed the attached Equipment Inventory and my
instructions for disposition are as follows:
Final Raport Statul
The peer review was completed and the final report
accepted by this office on __________________________
The peer review was completed but the report was
unacceptable. The report was returned to the project manager on
_______________________ for revision. The review of the revised
report should be completed by
The peer review is not complete. The review should be
complete by
Other: _______________________________________________
‘tour prompt attention and reply is greatly appreciated.
Date Signature of Project Officer
SUBJECT
FROM:
TO:
O”’CE 0 ’
ES0 CES
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XI. NON-COMPLIANCE
Overheads
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Is
NON-COMPLIANCE REMEDIES
• TERMINATE
• STOP WORK ORDER
• ANNUL
• DEBAR
• OTHER ADMINISTRATIVE
• JUDICIAL PROCEEDINGS
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XII. HQTRSI REVIEW
AND DISPUTES
(No Handouts)
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XIII. SUMMARY
Overheads
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SUMMARY
L .. ii ‘1.1 .IN(; $( )fl ( )
‘Ii’t r.i v )K K
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