PROJECT OFFICER TRAINING FOR GRANTS AND COOPERATIVE AGREEMENTS & Printed on Recycled Paper ------- I. INTRODUCTION Overheads Time/The ------- 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 ------- COURSE TOPICS (CONTINUED) • FUNDING • PAYMENT PROCESS • MONITORING OVERVIEW • CLOSEOUT • NON—COMPLIANCE • HEADQUARTERS REVIEW & DISPUTES • SUMMARY ------- II V OVERVIEW OF ASSISTANCE 1 • PREAPPUCAT1ON • APPUCATION • GOB REVIEW • PROGRAMMATIC REVIEV AND RECOMMENDAT1O • GOB PROCESSING OF AC I REEMENT ------- 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 ------- ( ASSISTANCE TEAM COMPONENTS • PROJECT OFFICER • RECIPIENT •GRANTS SPECIALIST •FMC-LAS VEGAS • ASSISTANCE COORDINATOR ------- 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 ------- II. AUTHORITIES Prescriptive Inform at/on ------- 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.) ------- III. ASSISTANCE RELATIONSHIPS Overheads Federal Grant & Cooperative Agreement Act of 1977 ------- FEDERAL GRANT & COOPERATIVE AGREEMENT ACT OF 1911 I. PURPOSE II. DISTINCTiON BETWEEN • ACQUISITION • ASSISTANCE III. DISTINCTION BETWEEN • GRANT AGREEMENT • COOPERATIVE AGREEMENT ------- 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 ------- 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 ------- GRANT A GREEMENT Recipient will run the project without agency collaboration, participation or Intervention. ------- 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 ------- COOPERATIVE AGRE EMENT Substantial Federal involvement is anticipated during the project. Defined in the assistance award. ------- 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 ------- 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 ------- 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. ------- 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 ------- 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 ------- IV. CATEGORIES OF ASSISTANCE Overheads Regulatoty Authorities ------- CATEGORIES OF ASSISTANCE • RESEARCH (H) • DEMONSTRATION IS) • TRAINING m • FELLOWSHIPS (U) • SENIOR ENVIRONMENTAL EMPLOYMENT PROGRAM 1W • SURVEYS. STUDIES. INVESTIGATIONS IX) ------- 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 ------- 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) ------- 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. ------- V. PREAPPLICATION ASSISTANCE and FORMAL APPLICATION Overheads Application Checksheet Guidelines for Extramural Reviewers Assistance Application Kit ------- 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 ------- 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 ------- 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 ------- (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 ------- PROGRAMMATIC REVIEW OF APPLICATION • RELEVANCE OF APPUCATION • AGENCY!PROGp OBJECTIVES AND PRIORITIES • AVAILABIUry OF FUNDS • TECHNICAL OR SCIENTIFIC MERIT • REVIEWS ------- 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 evs1oo. t of Supercritj j F1 id Chro .e ography for OlWo1ati1. 0r3ani s I a. O (O SAPw•c LOCAtION Riverside, Califor ii 1. ANO*IM*t( OO4.i.AN A OUNy 4. OUAYION I (CNANi$M (PA CA?Ie ONAM? COOP A4 (IM 5My CO.iPt?I?l , ( COMYMACT ‘ 197,404 ‘213,723 J 3 ‘rears sNYERAS(MCYAORttMcNy Ds. a.jmcECoNr.Ac, I. CON AC?QAIQMAN?I( Jniversi y of Ca .Lifornia a Riverside IL O13C*IPTIO OF WO IC ( i a many a as LASONA?ONY S?iJOV O.iiot P ANY CON$YUVCtIONIOCESAYION Qetisci. f 4’): . .o stuov 0 $SNCPI 10*1.1 OPC AYION COMPiJICS 1?UO’V QMONItOAINO S?1.IOV C LSRANV/ I?CNAVUN( SEARCH L.... IAM• I.E CO 5 .jC?eON ii IlL 1NVI OPdM1NTAL IIIVIIW ,, 7. The DfO4ct will .ndu iiç .Iu t i n ifl 4t7I . comnwru . Or r 4SI%ti land IS c i rnrsvon. or i$. • trib .flio . 2. The oro t will h iapi ,b it . ris qff*c on tIwi , ind . h ir s t 13. The O’04C1 will i vy aff • ‘ t “tiled on l ie O’I 1Wwi .I Of 9w IAtw i or I SIa t .s lirwitm i.0 mo I0 _ ‘ 4. The oro scI mor 0Ir y uss or un dwnqss met o iufu fly: Is) D .i1itioR: C D) Altar 9w dtariciu, Of , .( in em.stunq ru dsrn, . . ; (c i A4t.*ed stfarta Ilo n; Cd) Aatqrwiy ef fart upi’f ,t w’i of DVWIs or .niciii sc ’cuitural i , 9 l ta .fIneo in EPAs P 4.cy ta P ’otact 1 .. . . .wi.r.taly Sqi.fl t Ay fund Land. .. %. The oro .ct will uptifi it a9wrle dirart or indIrect if f.e of O ial . ottior ‘c an or w of nc. r,a,,t’on .l srcrIec.o . 0 , PliltOnc *ia. . .C 6. The oro ec vr y Oi? .cvy Or tN0 , l nG de eloome4ii ( ‘ I A I i.yuit ’ itt .sri* Effect oon io a’io.an air o a irv e i an ent (‘bIN Irmets. iltaor or yotm tar amity or o ’.ia’uIy. tudt, wildulS. aid m ‘wiwa I I. 7 The co ct si l thr ts.i a iolitwn of F.d. Stata. or l l or ir an u 10, die oroteciion of Pie .r , ,o,i . 8. The oro t ni .ats of I usid tta ineclvulq me in *at of upiaf t OUwitullel of toiic or oollu.itinq sç,cuiti r anima Iii, Osstuodai. radaoarv wide or othor Pumw9w a. , into Ills I .....ment Dy ORO. ‘U r 15 cOV iUSctOl% . X 1. The artioii U ¾S 9w MtOOO II Of lSO* Or - ‘-irl- t Nt tO Ni to. Tie PrQ,.lt tO• lnolo idi i us si i w( w aid ‘iana tvttaI viedle II• Tha i .i Of i Wi ,.ap, ai• lp S. siw me n i....... .atson may ‘Nijit ti — 73. Ti ,...4_ , j wl ,, ithln any l10o,uIU.- or oV fiolily. aid sa* mn n .t eftecu P ,r sari iiam. x ‘tN W t—._. — — Of 1 J*u1riP led iw i N OrN 1 Nsim VtN id ifV wN the ,roq%ma t -ec-d_ . Il . X 13. 1l , ..4..g -.— e i..nt or tuistioi m at a .t if U tN.l4 reIy fuiw arov ’vv of tie orivetu isctor. aid It a ufI n or NIOed tu a i to ,xum n oHwdon. iv 0c3s1o An 113 anul I u.&.......l ,v. , re tol ii * srs.sr N a if 9w f N Ni at. . A P P43) Co .’ioiqtuon an O1? bIIAfl 0 , tEN 101511 NilNi1t a PP4SI tan 40 CPR 6.704 ) (31. ( nwwwnatlal rrmww reatitiw in y to me I S O 1 II1UIt I15 ‘01CC? O ICiR Donald F. Gurk.a L I 4 J JJ c/, ‘SI0..1i. g OP’ICI* i ..aeaiJ ma Quarto ,t Ertch J. Bretthausr , £PA 530 IRis. 6.10) •N (VuOWS loltiow I I 0S*Q (tE. 8—10 OAt S ------- 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. ------- —2— 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 ------- —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. ------- —4— 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. ------- IX. PROJECT MONITORING Overheads ------- 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 r :: ------- 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 I ------- 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 __ ------- 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. ------- AMENDMENTS PROJECT MANAGER BUSINESS OFFICE EPA PROJECT OFFICER A COMPLETE RE TI EPA GRANTS COORDINATOR ------- 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 ------- 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 ------- X. CLOSEOUT Overheads Pro perty Purchased Under Assistance FTRlProperty Memo ------- CLOSEOUT TECHNICAL REPORT PROPERTY REPORT FINANCIAL STATUS REPORT INVENTIONS REPORT WaR. ------- PERSONAL PROPERTY UNDER EPA ASSISTANCE PROJECTS ------- 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 ------- / 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 ------- 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 ------- / 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 ------- 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 ------- / 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 ------- / 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 ------- 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 ------- — 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 ------- XI. NON-COMPLIANCE Overheads ------- Is NON-COMPLIANCE REMEDIES • TERMINATE • STOP WORK ORDER • ANNUL • DEBAR • OTHER ADMINISTRATIVE • JUDICIAL PROCEEDINGS ------- XII. HQTRSI REVIEW AND DISPUTES (No Handouts) ------- XIII. SUMMARY Overheads ------- SUMMARY L .. ii ‘1.1 .IN(; $( )fl ( ) ‘Ii’t r.i v )K K ------- |