FY09 NOAA Grants Federal Program Officer

1
FY09 NOAA Grants Federal Program Officers
Training Workshop

• Rimas T. Liogys
• Director, Grants Management Division
• October 23, 2008

2
FY09 FPO Workshop

• Logistics
• Overview
• GMAC
• GMD

3
Grants Management Advisory Committee (GMAC)

• Purpose
• The Grants Management Advisory Committee (GMAC)
  of the National Oceanic and Atmospheric
  Administration (NOAA) is established to review
  NOAA grant activities and assist in establishing
  open channels of communication among the line
  offices, program offices, grant recipients,
  Grants Management Division (GMD), and the
  Department of Commerce (DOC), in order to ensure
  that the grant process meets the NOAA
  programmatic mission requirements. Decisions
  about grants administration/policy will be made
  at the lowest level possible, i.e., GMAC level.

4
Grants Management Advisory Committee (GMAC)
Members Line Offices

• National Marine Fisheries Service (NMFS)
• JoAnna Grable joanna.grable_at_noaa.gov
  301-713-1364 x118 
• National Ocean Service (NOS)
• Jane Piercy- jane.piercy_at_noaa.gov [phone]
  x161
• Office of Atmospheric Research (OAR)
• Sharon Schroeder sharon.schroeder_at_noaa.gov (301)
  713-1172
• National Environmental Satellite, Data,
  Information Service (NESDIS) Ingrid Guch-
  ingrid.guch_at_noaa.gov [phone]
• National Weather Service (NWS)
• Sam Contorno - samuel.contorno_at_noaa.gov (301)
  713-3557 x150
• UnderSecretary, Office of Education (OE)
• Sarah Schoedinger - sarah.schoedinger_at_noaa.gov
  [phone]

5
GMD Organization Chart
6
FPO Deadlines There are a few deadlines of
which all FPOs should be aware

• June 30
• Guaranteed processing if submitted by June 30.
  NOAA Grants (GMD) accepts grant applications from
  Federal Program Officers (FPO) throughout the
  year. Since GMD only guarantees processing and
  obligation for those grant applications that are
  sent to GMD by June 30, NOAA managers want all
  grant applications prepared and sent to GMD by
  June 30.
• After June 30, notify your GMD specialist, GMAC
  rep, and Budget Officer for their carry-over
  list. If you, as an FPO, know that your grant
  application will be sent to GMD after June 30,
  you should contact your GMD specialist and your
  Grants Management Advisory Committee (GMAC)
  representative with this information. You should
  also provide your budget officer with the project
  codes and dollar amount for the grant. Your
  budget officer will include them on a carry-over
  list which gets submitted to NMFS Budget
  Execution Office. Corrections and updates to the
  carry-over list can be made throughout the 4th
  quarter by your budget officer.

7
FPO Deadlines Continuing with a few deadlines
of which all FPOs should be aware

• Annual Grants Plan
• NOAA Grants asks for an Annual Grants Plan from
  each Line Office by the 30th day after the
  Appropriations Act has been signed. As an FPO,
  you should provide to your GMAC representative
  the number and dollar amount of your intended
  grants, and when they will be submitted to GMD.

8
FPO Deadlines Continuing with a few deadlines
of which all FPOs should be aware

• Competitive Announcements
• By April and October each year, send your
  prepared Federal Funding Opportunity notices to
  FALD and GMD. Using Grants Online, all
  competitive announcements are sent to FALD and
  GMD for the June and December omnibus Federal
  Register notice.
• Any single announcement must be sent to your GMAC
  representative for clearance. Based on the
  acting AGO directors July 9, 2008, memo, in
  order to publish your single announcement, a
  justification for why it should be published
  separately must be cleared through your AA.

9
Performance Measures

• Using accurate performance measures
• Assists FPOs in predicting the timing of grants
  to GMD, and GMDs signature date.
• This in turn
• Allows Budget folks to assess quarterly
  obligations. Accurate performance measures allow
  for fewer variances.
• Creates a better work plan for GMD. GMDs work
  loads are based on receipt of grants from the
  program offices.

10
Performance Measures

• Rule of Thumb
• Timing is estimated based on expected receipt of
  application or start date.
• GMD never gets more than 60 days to review and
  process an application.
• Applications are signed 30 days before start
  date.
• Measures depend on the type of grant.
• Program Offices have 90 days to process New
  Awards, and GMD has 60.
• Program Offices have 75 days to process
  Continuations, and GMD has 45.
• Program Offices have 45 days to process
  multi-year releases without changes, and GMD has
  15.

11
Performance Measures

• Examples
• If you expect a new award on May 1,
• Add 90 for the date to GMD
• Add another 60 for the obligation date
• If you expect to receive a request on May 1 for
  funds under a multi-year with no anticipated
  changes,
• Add 45 for the date to GMD
• Add another 15 for the obligation date

12
Performance Measures

• Table of Timeframes

13
NOAA 2008 Grants Workshop
Federal Program Officer Responsibilities
NOAA Grants Workshop October 23 24, 2008 Silver
Spring, Maryland
Lamar Dwayne Revis Grants Management Division
14
Questions Addressed Today

• Types of Financial Assistance
• Program Officer responsibilities in the award
  process

15
What is Financial Assistance?

• Grant/Cooperative Agreement a transfer of
  money, property, services or anything of value to
  a recipient in order to accomplish a public
  purpose of support or stimulation that is
  authorized by federal statute.
  
• Contract a legal instrument reflecting a
  relationship between NOAA and a business,
  organization, or individual whenever the
  principal purpose is the acquisition, by
  purchase, lease or barter, of property or
  services for the direct benefit or use by the
  federal government.

16
Grants vs. Contracts

• If the principal purpose of the award is to meet
  the needs of a non-federal entity carrying out an
  activity that Congress has decided to assist, as
  a matter of public policy by statute, then this
  is a Grant or Cooperative Agreement.
• If the principal purpose of the award is to
  acquire goods or services that will be used by
  NOAA to carry out its public mission, then this
  is a Procurement Contract.

17
Types of Grants

• Discretionary NOAA can exercise judgment in
  selecting the recipient to whom the federal funds
  are awarded.
• Non-Discretionary Determined by statute and is
  limited to specifically named recipients or a
  particular class of recipients.

18
Discretionary Grants

• 
  

1. Competitive 2 Institutional 3. Non-Competi
tive 4. Broad Area Announcement
19
Non-Discretionary Grants

• Congressionally Mandated (Hard Earmark)
• Congressionally Directed (Soft Earmark)
• 3. Formula / Allotment (ex. Coastal Zone
  Management NMFS Section 404)

20
Types of Applications

• 
  

1. New 2. Continuation 3. Multi-Year 4.
Supplemental
21
Required Grant Forms

• 
  

• SF-424 Application for Assistance
• SF-424A Non-Construction Budget
• SF-424B Assurances
• SF-424C Construction Budget
• SF-424D Assurances for Construction

22
Required Grant Forms (cont.)

• 
  

• SF-LLL, Disclosure of Lobbying Activities
• CD-346, Applicant for Funding Assistance (Name
  Check for officers and key personnel of
  nonprofits and for-profits)

23
Required Grant Forms (cont.)

• 8. CD-511, Certification Regarding Debarment,
  Suspension, a Drug-Free Workplace, and Lobbying
• 9. Project and Budget Narratives

24
NOAA Review Process Performance Metrics
25
Most Common Application Problem

• 
  

Budget Inconsistencies Applicants must ensure
the mandatory budget narrative fully explains and
expounds upon the funding amounts, per line item,
shown on the SF 424a.
26
Recommendation Package to GMD

• 
  

• Internal program office memo summarizing process,
  timeline, and team findings.
• Funding recommendation memo from selecting
  official to Grants Management Division Director.
• Funding recommendations and justification
  attachment (including justification for funding
  proposals out of rank order).

27
Recommendation Package (cont.)

• 
  

4. List of proposals received, recommended, and
not recommended for funding. 5. List of reviewers
and scores. 6. NEPA memo from the selecting
official for the record. 7. Copy of the Federal
Register notice.
28
Required Grants Online Documentation

• 
  

Minimum Requirements Checklist Program Officer
Checklist Procurement Request National
Environmental Policy Act (NEPA) Approval

29
Clearance Steps for Recommended Applications

• 
  

Program Officer submits recommendation to
selecting official Program Officer submits
procurement request through Budget officials and
the NOAA Management and Budget Office National
Environmental Policy Act Office clearance Federal
Assistance Law Division (FALD) clearance
(depending on type of grant) Grants Management
Division clearance
30
Final Grant Processing Steps

• Grantee is registered to use Grants On-line.
• Award is accepted by grantees Authorized
  Representative.
• Funding draw downs may commence after the award
  is signed by the Grants Officer, recipient is
  registered with the Automated Standard
  Application for Payments (ASAP) and after account
  is validated by the Finance Office.
  

31
Program Office Teams

• 
  

Federal Program Officers (FPOs) Technical Program
Officers Program Office Staff / Contractors Merit
Reviewers Managers / Core Team / Selecting
Official Budget Teams
32
Contractor Grant Functions

• 
  

Contractors may Serve as the Program Officer on
a request for applications or application. Serve
as competition manager and complete
negotiations. Must reassign final actions to a
Program Officer who will communicate directly
with FALD, the Grants Office, applicants, or
recipients.
33
What Offices/Entities Are Involved?

• 
  

Grants Management Division Federal Assistance Law
Division DOC Office of General Counsel NOAA
Management and Budget Office Grants Management
Advisory Council Grants On-line Grants.gov Nationa
l Environmental Policy Act Office
34
Helpful Websites

• http//oamweb.osec.doc.gov/GMD interimManual.html
  
• http//www.Grants.gov
• http//www.ASAP.gov
• http//www.ofa.noaa.gov/grantsonline/gol_training
  .html
• http//www.ago.noaa.gov/grants/Budgtgud.pdf

35
Key Steps to Finding NOAA Funding Opportunities
and Developing Successful Grant Proposals
NOAA Grants Workshop October 23-24, 2008 Silver
Spring, Maryland
Lamar Dwayne Revis Grants Management Division
35
36
Questions Addressed Today

• Which programs in the federal government provide
  grants?
• How can you get detailed information on NOAA
  grant programs?
• What forms and documents must be submitted?
• What are key ways to increase chances of
  submitting a successful proposal?

37
Grants.gov Background

• Grants.gov is a single government-wide source for
  information about grant programs
• One of 24 E-government initiatives
• Includes gt1,000 grant programs from 26 federal
  grant-making agencies
• 460 billion in annual awards
• Administered by Department of Health and Human
  Services

38
Origins and Purpose

• Federal Financial Assistance Management
  Improvement Act of 1999, also known as Public Law
  106-107
• Goals
• Improve effectiveness and performance of Federal
  financial assistance programs
• Simplify Federal assistance application and
  reporting requirements
• Improve the delivery of services
• Facilitate greater coordination among those
  delivering services

39
Support Resources

• On-line user support, tutorial, and training
  demonstration
• Frequently asked questions
• User guide
• Toll-free phone number
• Help Center e-mail

40
Finding Grant Opportunities
Basic search Browse by category Browse by
agency Advanced search E-mail alert notification
service
41
Search Screen

42
Basic Search
Basic searches use Keywords Funding opportunity
numbers Catalog of federal domestic assistance
numbers
43
Basic Search

44
Category Search

45
23 Categorical Search Options

• All Categories of Funding Activity
• Agriculture
• Arts (see "Cultural Affairs" in CFDA)
• Business and Commerce
• Community Development
• Consumer Protection
• Disaster Prevention and Relief
• Education
• Employment, Labor and Training
• Energy
• Environment
• Food and Nutrition

46
23 Categorical Search Options

• Health
• Housing
• Humanities (see "Cultural Affairs" in CFDA)
• Information and Statistics
• Income Security and Social Services
• Law, Justice and Legal Services
• Natural Resources
• Other (see text field entitled "Explanation of
  Other Category of Funding Activity" for
  clarification)
• Regional Development
• Science and Technology and other Research and
  Development
• Transportation

47
Advanced Searches

• Includes
• Flexibility to search on numerous criteria
• Active and archived documents
• Funding opportunity number
• Dates and time frames
• Catalog of Federal Domestic Assistance number
• Funding activity category
• Funding instrument type
• Agency

48
E-mail Subscription Service

• To receive notification of funding opportunities,
  you need
• Catalog of Federal Domestic Assistance number
• Agency
• Category of activity
• Instrument type
• Eligibility

49
Sample E-mail Notification about a Coastal
Related Opportunity -------- Original Message
-------- Subject Grants.gov Opportunities
Posting Update Date Wed, 07 Feb 2007 003545
-0500 (EST) From notifier_at_grants.gov To
James.L.Free_at_noaa.gov DOI Department of the
Interior U. S. Geological Survey 2007 National
Spatial Data Infrastructure Cooperative Agreement
Program Category 4 Extension Modification
1 http//www.grants.gov/search/search.do?modeVIEW
oppId12487
50
Catalog of Federal Domestic Assistance
An index of all programs
and their Catalog of Federal Domestic Assistance
numbers are at www.cfda.gov
51
Main Catalog Web Site

52
Catalog Search Page

53
Entire Catalog List

54
Catalog Keyword Search

55
Coastal Keyword Search Results (76 Total Listings)

56
Getting Ready to Apply

• Once you have found an opportunity that you want
  to apply for
• Grants.Gov and Grants Online (NOAA)
• DUNS
• CCR
• Credential Service Provider ORC
• Grants.gov (e-business point of contact and
  authorized representative)

57
Getting Registered
58
Grant.gov Opportunity Announcement Screen
Contains Three Buttons
Synopsis Full announcement How to apply
59
Full Announcement Format

• I. Funding opportunity description
• II. Award information
• III. Eligibility information
• Application and submission information
• V. Application review information
• VI. Award administration information
• VII. Agency contacts
• VIII. Other information

60
Full Announcement Format (cont.)
V. Application review information VI. Award
administration information VII. Agency
contacts VIII. Other information All federal
agencies are required to follow this format.
61
Specific Announcement Sections

• I. Funding Opportunity Description
• A. Program Objective
• B. Program Priorities
• C. Program Authority
• D. Cost Principles

62
Specific Announcement Sections

• Award Information
• A. Funding Availability
• B. Project / Award Period
• C. Type of Funding Instrument

63
Specific Announcement Sections

• Eligibility Information
• A. Eligible Applicants
• B. Cost Sharing or Matching
  Requirement

64
Specific Announcement Sections

• IV. Application and Submission Information
• A. Address to Request Application Package
• B. Content and Form of Application Submission
• C. Submission Date and Time
• D. Intergovernmental Review
• E. Funding Restrictions
• F. Other Submission Requirements

65
Specific Announcement Sections

• V. Application Review Information
• A. Evaluation Criteria for Letters of Intent
  (LOIs)
• B. Evaluation Criteria for Full Applications
• C. Review and Selection Process
• D. Anticipated Announcement and Award Dates

66
NOAA Standard Evaluation Criteria
1. Importance and/or relevance and
applicability of proposed project to the program
goals (40 points) 2. Technical/scientific merit
(30 points) 3. Overall qualifications of
applicants (15 points) 4. Project costs (10
points) 5. Outreach and education (5 points)
67
Specific Announcement Sections

• VI. Award Administration Information
• A. Award Notices
• B. Administrative and National Policy
  Requirements
• C. Reporting
• Agency Contacts
• Other Information

68
Apply Feature

• Allows users to
• Download application packages based on Catalog of
  Federal Domestic Assistance number, Funding
  Opportunity Number, or Competition Number.
• Complete application packages off-line
• Submit application packages
• Track the status of submitted applications
• Receive updates on application package changes

69
Application Package
70
Required Grant Forms

• SFs-424 Application for assistance
• SF-424A Non-construction budget
• SF-424B Assurances
• SF-424C Construction budget
• SF-424D Assurances for Construction

71
Required Grant Forms

• 6. SF-LLL (if activities are being reported)
• CD-346 (by non-profits or for-profits only)
• CDs-511 and 512 Certification regarding lobbying
• 9. Project and budget narratives

72
User Roles

• The e-business point of contact (POC) determines
  who is allowed to submit grant application
  packages on behalf of an organization.
• The authorized organization representative (AOR)
  has the ability to submit applications on behalf
  of an organization.
• The application author (AA) prepares grant
  application packages but does not have signature
  authority to submit the applications.

73
Increase Your Chances of a Successful Grant
Proposal

• Anticipate federal announcements of major
  competitions
• NOAA typically announces every June and December
• Follow and address submission guidance stated in
  announcements
• Pay close attention to FFO Sections IV and V
• - Section IV content and form of application
• - Section V application review information
• (used verbatim by merit review
  panel)

74
Increase Your Chances of a Successful Proposal
(cont.)

• Provide sufficient and consistent budget
  information
• Clearly state the resulting impact of your
  project and products
• Maintain Grants.gov registration
• Study on-line grant writing resources (Grants.gov
  and www.cfda.gov)
• Look into technical assistance/grants writing
  from Congressional offices, non-profits, etc

75
Grant Writing Resources
Proposal development www.grants.gov/resources/rela
tedlinks.jsp http//12.46.245.173/cfda/CFDA_Static
/grant_proposal.html Logic model development
(outcomes impacts) www.uwex.edu/ces/lmcourse/
76
Successful Grants Management
77

• NOAA Grants Federal Program
  Officers Training Workshop
• October 23-24, 2008

v
78
Todays Topics

• Statutory authorities
• Selection memos (competitive, BAA, and
  non-competitive awards)
• Merit reviews
• Federal employees as grant recipients
• Grants v. contracts

79
FALD Staff

• Division Chief
• Michelle McClelland, mmcclelland_at_doc.gov,
  202-482-8035,
• FALD staff assigned to NOAA
• Dinah Flynn, Senior Counsel, Dinah.Flynn_at_noaa.gov,
  301-713-2176
• Jeff Joyner, Senior Counsel, Jeff.Joyner_at_noaa.gov,
  301-713-2177
• Ed Sharp, Senior Counsel, esharp_at_doc.gov,
  301-713-2175

80
Statutory Authority

• Grants Online is no longer automatically
  inserting statutory authorities into the P.O.
  checklist and the CD-450 based on what is in the
  CFDA listing. FPOs will have to include that
  themselves.
• FALD has the CFDA numbers, statutes cited, and
  brief descriptions at www.ogc.doc.gov/FALD_Statu
  tory20Authorities.htm.
• This site is linked in the Grants Online PO
  Checklist.
• FALD can be contacted for assistance.

81
Selection Memos

• This section will look at selection memos for
• Competitive awards
• Broad Agency Announcement (BAA) awards
• Non-competitive awards

82
Selection Memos (cont.)

• Selection memos should explain why the program
  office has decided to spend taxpayer funds the
  way it has.
• Justifications have to be consistent with the
  requirements the awards are operating under
  (whether its the Federal Funding Opportunity
  (FFO), BAA, or Grants Manual).
• The memos should be written so that the reasons
  for awards can be understood by the readers, who
  could be from GC or IG offices or the general
  public.

83
Selection MemosCompetitive Awards

• For competitive selection memos, an explanation
  of a selection is needed when picking out of rank
  order.
• Justification must be based only on the selection
  factors that are listed in the notice.
• The selection factors are NOAA standard
  requirements, which cannot be changed.

84
Selection MemosCompetitive Awards (cont.)

• The selection factors for research awards are
• 1. Availability of funding.
• 2. Balance/distribution of funds a.
  Geographically b. By type of institutions c.
  By type of partners d. By research areas e. By
  project types.
• 3. Whether this project duplicates other projects
  funded or considered for funding by NOAA or other
  Federal agencies.
• 4. Program priorities and policy factors.
• 5. Applicant's prior award performance.
• 6. Partnerships and/or Participation of targeted
  groups.
• 7. Adequacy of information necessary for NOAA
  staff to make a NEPA determination and draft
  necessary documentation before recommendations
  for funding are made to the Grants Officer.

85
Selection MemosCompetitive Awards (cont.)

• The selection factors for fellowships are
• 1. Balance/Distribution of Funds
• a. Across academic disciplines
• b. By types of institution
• c. Geographically
• 2. Availability of funds
• 3. Program-specific objectives
• 4. Degree in scientific area and type of degree
  sought

86
Selection MemosCompetitive Awards (cont.)

• When justifying a selection out of rank order the
  factor being used should be listed and then
  explained.
• DO NOT WRITE The project ranked 12th is picked
  because of geography.
• INSTEAD WRITE The project ranked 12th is being
  picked over the project ranked 11th because of
  Selection Factor 2.a, Balance/distribution of
  funds geographically. Project 11 is from the
  Pacific coast, from which three other funded
  projects originate, while Project 12 is the only
  one from the Gulf of Mexico.

87
Selection MemosCompetitive Awards (cont.)

• If program priorities and policy factors
  (Selection Factor 4 for research awards) are the
  basis for the out-of-order selection, cite the
  specific section in the FFO where the
  priority/factor is listed. If the program
  priority or policy factor is not listed in the
  FFO, it CANNOT be used as a basis for the
  selection.

88
Selection Memos Broad Agency Announcement (BAA)

• BAA awards are issued on an individual basis
  they are not ranked in comparison to other
  applications that a program may also have under
  consideration.
• The selecting official must explain why the award
  is being made. This DOES NOT MEAN justifying the
  award in terms of the selection factors used in
  competitions.

89
Selection Memos Broad Agency Announcement (BAA)
(cont.)

• DO NOT WRITE This project received good
  reviews and meets a NOAA mission. A great
  number of BAA award justifications have used
  essentially that language.
• DO NOT USE non-competitive justifications for BAA
  awards.
• INSTEAD Explain why the program office decided
  that this proposal is worth being funded. Since
  the decision is completely at NOAAs discretion,
  a clear reason should be offered.

90
Selection Memos--Non-competitive Justifications

• The Grants Manual provides six options for
  justifying issuing non-competitive awards (See
  Chapter 8, pages 7 and 8) 
• (1) Only One Source Identified.
• (2) Unusual and Compelling Urgency.
• (3) International Agreement.
• (4) National Security.
• (5) Public Interest.
• (6) Congressional Direction.

91
Selection Memos--Non-competitive Justifications
(cont.)

• To justify an award under 1, Only One Source
  Identified, the FPO should indicate whether an
  applicant
• 1. Has proprietary information
• 2. Has made a substantial investment in
  the activity
• 3. Is proposing a unique or innovative
  idea, method or approach.
• 4. Is the only organization known to
  possess the capability to perform, and how you
  determined that.

92
Selection Memos--Non-competitive Justifications
(cont.)

• If the justification under 1, Only One Source
  Identified, is that the applicant
• a. Has proprietary information, the FPO
  should base the justification on his/her own
  expertise or someone he/she has consulted
• b. Has made a substantial investment in the
  activity, the FPO should describe the nature and
  amount of the investment.  Receipt of prior
  Federal awards is not applicant investment
• c. Is proposing a unique or innovative idea,
  method or approach, the FPO should explain the
  nature of the approach and describe why it is
  unique
• d. Is the only organization known to possess
  the capability to perform, the FPO should explain
  how he/she came to this conclusion, e.g.,
  consultation with potential recipients or
  scientists research in scientific journals or,
  describe what search was attempted or possible
  recipients contacted.

93
Selection Memos--Non-competitive Justifications
(cont.)

• To justify an award under 2, Unusual and
  Compelling Urgency, the FPO should explain the
  unforeseen events that need to be addressed
  within a limited time frame.
• EXAMPLES red tide event disaster recovery
  seasonal research needs.
• It is NOT to be used to address administrative
  errors or poor planning.

94
Selection Memos--Non-competitive Justifications
(cont.)

• To justify an award under 3, International
  Agreement, the FPO should consult with the
  General Counsel to determine if the document
  being cited is an international agreement or
  treaty as described in the Manual.
• To justify an award under 4, National Security,
  the Secretary of Commerce must determine in
  writing that public disclosure of the project
  would compromise the national security. This is
  not a delegable determination.

95
Selection Memos--Non-competitive Justifications
(cont.)

• To justify an award under 5, Public Interest,
  the explanation must
• 1. Be written by the Head of Operating Unit
  (at NOAA, AAs or above)
• 2. Provide a rationale for why it is not in
  the public interest to have a competition, NOT
  why it should be funded.

96
Selection Memos--Non-competitive Justifications
(cont.)

• DO NOT WRITE I have determined that it is in
  the public interest to issue this award because .
  . .. This does not address why competition is
  not necessary.
• DO NOT WRITE I have determined that it is not
  in the public interest to have a competition.
  This does not provide a reason.
• DO NOT WRITE I have determined that it is not
  in the public interest to have a competition
  because this is the only organization that can
  accomplish this work. This justification comes
  under 1, Only One Source Identified, and would
  have to meet the standards of that justification.

97
Selection Memos--Non-competitive Justifications
(cont.)

• To justify an award under 6, Congressional
  Direction, the Operating Unit CFO/Budget Officer
  determines that congressional direction to
  issue an award to a specific recipient, project,
  or both has been expressed in writing in the
  House report, the Senate Report, and/or the
  Conference Report.
• The recipient is then listed on a Grants
  Matrix document that is included with other award
  information in Grants Online.
• The matrix also lists a project description, a
  statutory authority allowing a grant to be
  awarded and an award amount.
• All that is needed for this justification is a
  memo from the CFO/Budget Officer transmitting the
  matrix.
• NOTE If the matrix does not list the
  recipient but only the project, it will not meet
  the requirements of this justification. This
  problem arose in NMFS in 2008 and required that a
  project be justified in some other way.

98
Selection Memos--Non-competitive Justifications
(cont.)

• Awards listed on the matrix are soft earmarks,
  meaning they are identified by Congress in report
  language as something it would like to see
  awarded (therefore an earmark) but havent been
  listed in an actual appropriations law (therefore
  soft). NOAA is not legally bound to issue the
  awards, but is constrained by a desire to comply
  with Congressional will.
• Hard earmarks are different They are listed
  in an appropriations law and are therefore
  legally required to be awarded.
• Other definitions of hard and soft earmarks
  are used in the budget office depending on
  whether or not a project was requested in the
  Presidents budget. However, for purposes of
  this non-competitive justification, the
  definitions listed above are the ones that
  apply.

99
Merit Reviewers and Objectivity

• FPOs and grants administrators must insure that
  reviewers are objective.
• Reviewers must express their views based on their
  individual expertise in the subject matter they
  are dealing with.
• FPOs cannot be reviewers for the projects they
  are managing.
• If possible, reviewers should not be in the chain
  of command of the selecting official.

100
Merit Reviewers and Conflicts of Interest

• Reviewers must reveal potential conflicts to
  determine if they should carry out evaluations of
  awards.
• If there is a conflict, the most desirable
  alternative would be to use a different reviewer.
  
• Reviewers identities must be provided to GMD and
  FALD to enable those offices to make assessments
  about potential conflicts.
• NOTE a conflict of interest on the part of a
  reviewer could be a basis for challenging a
  funding decision in court.

101
Can Federal Employees Receive Grants?

• Under the terms of the Federal Grant and
  Cooperative Agreement Act, the answer is no. By
  definition, grants (and cooperative agreements)
  are awards that Federal agencies make to
  non-Federal organizations or individuals.
• HOWEVER, sometimes agencies will offer funds to
  other agencies under terms that look like grants
  (that is, the offering agency wants to support
  something the receiving agency is doing and is
  not buying goods or services).
• The QUESTION is since the transfer would
  constitute and augmentation of its appropriation,
  can the requesting agency receive the money?
• The ANSWER is the requesting agency can receive
  the money ONLY IF there is a law that allows it.

102
Can Federal Employees Receive Grants (cont.)?

• If such a law exists, the award of funds would be
  by an interagency transfer and NOT by a grant (or
  cooperative agreement).
• To determine if such a law exists, the General
  Law Division should be consulted for a
  determination.

103
Can Federal Employees Receive Grants (cont.)?

• As a slight variation of the question, can NOAA
  employees receive NOAA grants (or cooperative
  agreements)? Again, the answer is no, since the
  funds would be staying inside the government.
• HOWEVER, sometimes, if there are no statutory
  limitations, NOAA competitions are open to NOAA
  employees to compete for the funds against
  outside applicants.
• If the NOAA employee wins such a competition, a
  budget transfer inside NOAA is made. A grant
  (or cooperative agreement) is not issued.

104
Assistance v. Procurement

• Procurement Contracts -- Principal purpose is to
  acquire property or services for the direct
  benefit of the federal government. Contracting
  authority is inherent.
• Financial Assistance -- The transfer of anything
  of value for a public purpose of support or
  stimulation authorized by law.
• No inherent authority
• Must be explicit statutory authority to make a
  grant.

105
Assistance v. Procurement Decision Process

• To ensure that the appropriate instrument is
  selected, NOAA should ask the following
  questions
• Is the primary purpose of the award to acquire
  goods or services that will directly benefit or
  be used by NOAA to further a specific NOAA
  mission or requirement?
• Yes then the award instrument should be a
  contract.
• No then use a grant or cooperative agreement.
• Is the work to be performed by the recipient for
  its own purposes and primarily NOAA is supporting
  this effort with financial or other assistance?
• Yes then the award instrument should be a grant
  or cooperative agreement.
• No then the award instrument should be a
  contract.
• The decision whether to use a contract or a
  financial assistance agreement is not based on
  the type of recipient (e.g., university,
  non-profit, or for-profit organization), activity
  (research, sponsorship), or who is to benefit.
  It is based on the principal purpose of making
  the award.

106
Assistance v. Procurement Decision Process (cont.)

• EXAMPLE SPONSORSHIPS
• Take an example of these two
  situations regarding sponsorships
• 1. An applicant is hosting a conference on how
  communities can better prepare for
  hurricanes and requests funding from NOAA to
  administer it.
• 2. NOAA is hosting a conference on how
  communities can better prepare for hurricanes
  and awards funds to an organization to administer
  the conference.
• In the first situation, NOAA is supporting an
  activity the recipient wants to carry out. In
  the second situation, NOAA is paying a recipient
  to do work it wants done.
• This means that, in the first situation, the
  award is a grant, in the second a procurement
  contract, even though in both circumstances the
  outcome of the activity is to benefit the public.

107
NEPA and the FPO Everything you were afraid to
ask Need to Know

• Philip L. Hoffman
• Cooperative Institute Program Manager (Acting)
• OAR Labs and Cooperative Institutes

108
Let me tell you . . . . .

• History of NEPA its not just about fuzzy
  bunnies
• NEPA Requirements Yes, Martha, NOAA has to do
  SOMETHING!
• NEPA and the FPO You, yes you, are our first
  line of defense (should you choose to accept the
  mission).

109
The History of NEPA

• It all started with the Cuyahoga River Fire of 22
  June 1969 (Or did it?)
• Actually, it began with the building of the
  Interstate system
• Officially the National Environmental Policy Act
  of 1969 (42 USC 4321 et. Seq.)
• Signed by Pres. Nixon 1 January 1970

110
What is the idea (of NEPA)?

• The purposes of this Act are
• To declare a national policy which will encourage
  productive and enjoyable harmony between man and
  his environment
• to promote efforts which will prevent or
  eliminate damage to the environment and biosphere
  and stimulate the health and welfare of man
• to enrich the understanding of the ecological
  systems and natural resources important to the
  Nation
• and to establish a Council on Environmental
  Quality. (42 USC 4321)
• Yeah, OK, but how do you really do that as a
  federal agency?

111
How do you do (NEPA that is)?

• Go to the books NAO 216-6 ( 5 Implementing
  Procedures)
• a)  define the proposed action
• (b)  consider the nature and intensity of the
  potential environmental consequences of the
  action in relation to the criteria and guidance
  provided in this Order to determine whether the
  action requires an EIS, EA, or CE
• (c)  prepare a CE memorandum, as appropriate
• (d)  prepare an EA or initiate planning and for
  an EIS where an EIS is known to be appropriate
• (e)  prepare a FONSI (which ends the NEPA
  environmental review process for actions found
  not to have a significant impact on the quality
  of the human environment) or initiate planning
  for an EIS/SEIS based on the EA

112
How do you do (NEPA that is)?

• An FPO wont likely do the CE memo or FONSI, but
  you need to look for them and know why they are
  there, and what they should contain.
• CE memo for things that have been shown to have
  no impact Computer modeling fisheries
  monitoring S-K planting dune grass project or
  program planning Charting and mapping
  Restoration of ecosystems w/o excavation
• EA One level up larger scope projects, often
  more expensive, but with no significant impact
• If it Says EIS . . . . .

113
The Long Form CE Memo
114
The CE Memo Abbreviated format
115
What should you look for in reviewing NEPA?

• Remember NEPA is a FEDERAL responsibility.
• Is there a NEPA document attached to the
  Application? It may be buried in the narrative
  appendices.
• Is the document scope adequate to the project at
  hand?
• Does the document actually describe the project?
• Is there evidence the PI has permits? Often,
  especially for in-water, you need ESA, MMPA,
  and/or U.S. Army Corps permits to do work.
• Anything with whales, installing permanent or
  moored instruments, Pacific salmon, seals,
  commercial fisheries or restoration should
  trigger this.

116
What should you look for in reviewing NEPA?

• Big projects often need more NEPA, but size and
  dont necessarily force NEPA decisions.
  Controversy is also a big driver.
• If NOAA has the lead, and the applicant is just
  part of a larger NOAA effort, it is likely that
  NOAA has done NEPA you may just have dig a bit
  to find it.
• Sometimes applicants will be working with other
  federal agencies, and you can get their NEPA as
  well.

117
Programmatic NEPA documents living life in the
easy lane

• Programmatic NEPA documents cover the actions of
  a whole area or program they describe the
  Program impacts across the board.
• They cover groups of similar actions, or
  repetitive actions over several years.
• Also written for program with grants as one
  component.
• Some require annual Suppliments attesting to
  project compliance.

118
Current Programmatic NEPA Grants documents

• Coral Reef Conservation Grant Program
• CELCP
• CZMA NEERS
• FWCA
• Community Based Restoration Program
• Pelagic Fisheries Research Program

119
The Bottom Line

• NEPA allows federal agencies to safeguard the
  environment by leveraging the actions and
  resources of others.
• NEPA is an important part of what NOAA does to
  meet its environmental obligations to the general
  public
• FPOs are integral to the success of NEPA
  implementation in NOAA.

120
Who you gonna call (NEPA Busters)!

• Steve Kokkanikas - NOAA NEPA Coordination
• Program Planning Integration , 301-713-1622
  x.189
• NMFS Aileen Smith [phone]
• NOS Sanctuaries John Armor, [phone]
  OCRM Helen Farr [phone]
• NESDIS Stan Chan [phone]
• NWS OAR TBD
• CI Program Philip L. Hoffman Acting (301)
  734-1096

121
Who you gonna call (NEPA Busters)!

• https//www.intranet.nepa.noaa.gov/grants.html

122
NOAA GRANTS FEDERAL PROGRAM OFFICERS TRAINING
WORKSHOP

• Grants Management Reviews
• October 23-24,
  2008
• Silver Spring,
  MD
• Carol Jean Pendleton
  Grants
  Management Specialist
  Presenter
• 
  

123
APPLICATION PACKAGE

• APPLICATION PACKAGE a set of documents
  required from both the applicant and the FPO
  which must be submitted to the Grants Office in
  order to make a financial assistance award.
• RECIPIENT will complete and submit an application
  package in Grants .gov. The forms will include
  the SF 424, SF 424A or SF 424C, SF 424B or SF
  424D, CD 511 and SF-LLL, if applicable. And a
  Project Description and Budget Justification and
  any requested documents covering the award.
• PROGRAM OFFICER will submit the completed P.O.
  Checklist, forward the CD 435 (Procurement
  Request) to the Budget Officer for approval and
  forward the award to the appropriate NEPA
  official.

124
PROGRAM OFFICERS CHECKLIST

• Grants Management Specialist receives and reviews
  the award packages in Grants Online as they are
  submitted by the line offices. An award package
  will include the following from the Program
  Officer
• PROGRAM OFFICER CHECKLIST
• Identifies Grant Type
  
  A Grant is a transfer of money,
  property, services, or anything of value to
  accomplish a public purpose.
• Cooperative Agreement includes substantial
  involvement which is the collaboration,
  participation, or intervention by DOC/NOAA in the
  management of the project between DOC/NOAA and
  the recipient during the performance of the
  activity. A Special Award Condition is required
  for cooperative agreements.

125
PROGRAM OFFICERS CHECKLIST CONTINUED

• Statutory Authority - Is the grant-making
  authority for the proposed activity. There is a
  Guidance link in Grants Online for further
  information.
• Project Description/Abstract - This should be a
  very brief summary (no more than a few sentences)
  of the proposed activity. It will be entered
  into the NOAA Grant System and used by the Grants
  Office for congressional notification (through
  the Office of Legislative and Intergovernmental
  Affairs) at the time of the award.
• Basis of Selection
  
  Competitive Awards made after the proposals are
  reviewed and selected as the result of a program
  solicitation that has been published in the
  Federal Register.

126
PROGRAM OFFICERS CHECKLIST CONTINUED

• A Competitive Selection must be reviewed by the
  Federal Assistance Law Division (FALD) prior to
  the submission to the Grants Office. The
  following must be included with every competitive
  application package submitted to the Grants
  Office 1. A copy of the selection
  recommendation and the review clearance by FALD.
  
  2. A copy of the published
  Federal Register.
• The Selection Recommendation Package includes
  1. A recommendation Memo
  signed and dated by Selection Official.
  
  2. An
  explanation of the selection criteria used to
  evaluate, score, and rank each of the
  applications received.
  3. Summary of the results of the review
  (number of applications received, reviewed and
  rejected).

127
PROGRAM OFFICERS CHECKLIST CONTINUED

• 4. Certification that all applications
  considered were received by the deadline
  established in the announcement.
  5. A signed DOC approved conflict
  of interest form (CD 571) for all non-Federal
  reviewers.
• Non-Competitive - Awards made with
  discretionary funds can be approved only in
  unusual and extraordinary circumstances.
  A Justification Memo and three (3) independent
  merit reviews must be provided by the Federal
  Program Office with the application package.
  
  1. Justification Memo - The
  guidelines for the criteria required for the Memo
  is outlined in the DOC Manual, Chapter 8, Section
  F. Non competitive awards are based on only of
  the following factors

128
PROGRAM OFFICERS CHECKLIST CONTINUED

• (1) Only one source identified
  (2)
  Unusual and Compelling Urgency
  (3) International
  Agreement
  (4) National Security
  
  (5) Public Interest
• Congressionally Directed (soft earmarks) -
  Only the NOAA CFO/Budget Officer (or designee)
  may approve this exception for the
  non-competitive Congressionally Directed
  awards for each line office. After the current
  fiscal year of appropriation has been passed by
  Congress, the issuance of one Memorandum and a
  budget/grants matrix is required to identify all
  congressionally directed projects and amount of
  funding.
  A copy of
  the Memo with a copy of the Matrix must be
  submitted by the FPO for each Congressional
  Directed Award.

129
PROGRAM OFFICERS CHECKLIST CONTINUED

• In addition, three (3) merit/technical reviews
  are required. Please Note If negative
  issues are stated in the reviews, the Federal
  Program Officer must address them before the
  award(s) are sent to the Grants Office.
  The
  Federal Program Officer cannot submit a merit
  review for an award that they are processing.
• Institutional Awards - Can be a grant or
  cooperative agreement under which funds should be
  initially awarded based on competition with the
  intent to maintain a long term partnership
  between DOC/NOAA and the recipient. Awards can
  be made on a Non competitive basis if recipient
  continues to perform satisfactory and submits the
  appropriate application documents required. They
  should not exceed a five (5) year period.

130
PROGRAM OFFICERS CHECKLIST CONTINUED

• Formula/Allotment - Awards made to
  organizations for which eligibility has been
  limited to law to a particular class of
  applicants and applicant meets the statutory
  requirements. Typically there is a
  formula or allotment established that identifies
  each applicant and the amount of funding. Two
  Formula/Allotment based programs are Coastal
  Zone Management and National Marine Fisheries
  Section 404.
  All programs must submit to the
  Grants Office a Memo explaining the basis for the
  allocation, an allocation plan with the
  distribution of funds and one technical/merit
  review of the proposed application in accordance
  with the Grants Manual.
• Congressionally Mandated - Awards are hard
  earmarks, are not discretionary because they are
  mandated by law. Funds are identified in the
  appropriations act.

131
PROGRAM OFFICES CHECKLIST CONTINUED

• Performance/Progress Report Frequency - NOAA
  standard progress reports are semi-annually
  (every 6 months) from the start date issued on
  the award. If FPO determines that annual reports
  are sufficient to meet the needs of the FPOs
  review and monitoring of the recipients
  progress, the FPO must prepare a Programmatic
  Special award Condition for the annual reports.
• Conflict of Interest The FPO must identify
  any person(s) if the person was a former DOC
  employee and is working for the applicant or was
  involved in the merit review and/or selection
  process. A Guidance link is provided to assist
  you.
• Matching Requirements - A match may be
  required by statute and must be provided unless
  there is statutory exception that applies.

132
PROGRAM OFFICERS CHECKLIST CONTINUED

• Waiver of administrative and cost-related prior
  approval requirements.
  
  If the proposed award supports research and
  recipient is covered under 15 CFR Part 14
  (educational institutions, non profit, for profit
  and individuals), the recipient may be entitled
  to expanded authorities to initiate changes
  without prior approval by the Grants Officer.
  
  
• The FPO may add a special award condition if
  the award supports research. The special award
  condition includes the following changes that can
  be made without prior approval
  
  1. Incur pre-award costs
  up to 90 days prior to the start of the award.
  
  2.
  Extend the award period once up to 12 months and
  3. Carry forward unobligated
  balances to the next budget period.

133
PROGRAM OFFICERS CHECKLIST CONTINUED

• Transfer Information If award includes any
  Federal funds transferred from another Federal
  Agency, the FPO must provide a copy of the
  transfer documentation from the other Federal
  Agency such as an Interagency Agreement which
  should include (1.)
  Transferring agencys statutory authority for
  grant-making. (2.) Scope of activity to be
  covered by the transferred funds. (3.)
  Fiscal year bounds of funds (no year funds vs.
  fixed year funds).
  
  
• Programmatic Special Award Conditions - Federal
  Program Officer must include any programmatic
  restrictions that need to be placed on the award
  such as cooperative agreement, progress reports,
  or NEPA. If program office has requested
  Programmatic Special Award Conditions requiring
  data to be supplied, additional reports, etc.,
  the conditions must have OMB approval.
•  

134
THE APPLICATION FOR FEDERAL ASSISTANCE SF 424

• SF 424 - The Grants Specialist reviews the
  following
• Legal Name and Address
  
  Employer Identification name
  and address EIN
  number and Duns Number
  Type of Applicant -
  determines the type of administrative regulations
  and cost principles applicable to the Recipient.
  (examples State, University, Non Profit)
  Project dates -
  Awards must start at the first of the month and
  end on the last day of the month and correspond
  with the funding period.
  
  Please Note For Multi year Awards, the
  entire period of the award is entered.
  
• Congressional Districts - Of the applicant
  and program/project.

135
THE SF 424 CONTINUED

• Federal Funding - The amount requested
  during the first year of funding budget period.
  
  Please note For multi-year
  funding, the entire total of the multi- year
  award is entered.
  Non Federal
  Funding can be broken down by categories and be
  provided by Applicant, State, Local, and Other
  (3rd Party contributions).
  
  Non-Federal share can be a required match from
  the regulations or statute or
  
  Cost sharing can be voluntary or at
  the request of the Program Office. Match can
  be Cash or In Kind - Volunteer services
  (employees donates reasonable value time).
  Donated Land, buildings and/or Equipment (Fair
  Market Value).
  
  In Kind must be
  necessary, allowable, documented and have a
  reasonable value.