1.  **PREFACE**

**A**. The Department of Commerce (DOC) was established on February 14,
1903, to promote American businesses and trade. Its broad range of
responsibilities include, but are not limited to, expanding U.S.
exports, developing innovative technologies, gathering and disseminating
statistical data, measuring economic growth, granting patents, promoting
minority entrepreneurship, providing effective management and
environmental stewardship of the nation's coastal and marine resources,
and predicting and monitoring the weather. Although DOC's missions are
very diverse, they are unified by one overarching mandate \-- to work
with the business community to foster economic growth and the creation
of new American jobs to ensure sustainable economic opportunities.

**B**. There is no general Department-wide financial assistance
authority. Such authority must be provided by specific statute. The
Federal Grant and Cooperative Agreement Act (31 U.S.C. 6301-6308), in
and of itself, does not provide such authority. The operating unit's
basic legislation must be analyzed to determine whether an assistance
relationship is authorized, and if so, under what circumstances and
conditions. The following operating units are authorized to provide
financial assistance.

1\. [Economic Development Administration (EDA)]{.underline}. The
Economic Development Administration (EDA) was established under the
Public Works and Economic Development Act of 1965 (42 U.S.C. 3121 *et
seq*.), as amended by the Economic Development Administration
Reauthorization Act of 2004 (Pub. L. No. 108-373, 118 Stat. 1756 (2004))
(PWEDA). As set forth in EDA's regulations at 13 C.F.R. Chapter III,
EDA's mission is to lead the federal economic development agenda by
promoting innovation and competitiveness, preparing American regions for
growth and success in the worldwide economy. EDA investment assistance
is available to rural and urban areas of the Nation experiencing or
threatened with substantial economic distress, including high levels of
unemployment, low income levels, significant declines in per-capita
income, sudden major lay-offs or plant closures, or natural or other
major disasters. In fulfilling its mission pursuant to PWEDA, EDA
advances economic growth by assisting regions experiencing chronic high
unemployment and low per-capita income to create an environment that
fosters innovation, promotes entrepreneurship, and attracts increased
private capital investment. Additionally, EDA helps communities
experiencing adverse economic changes due to base realignment and
closures, defense contractor reductions in force, U.S. Department of
Energy defense-related funding reductions, and Federally-declared
disasters. EDA works in partnership with eligible applicants, including
State and local governments, district organizations, public or private
non-profit organizations, Indian tribes, and institutions of higher
education. Under the Trade Act of 1974, as amended, EDA also provides
technical assistance to firms that have been adversely affected by
increased import competition (see 13 C.F.R. part 315).

2\. [International Trade Administration (ITA)]{.underline}. The
International Trade Administration is responsible for most
non-agricultural U.S. trade issues and works with the Office of the U.S.
Trade Representative in coordinating U.S. trade policy. ITA operates
through four principal units: Market Access and Compliance, Trade
Development, Import Administration, and U.S. and Foreign Commercial
Service. ITA provides grants and cooperative agreements through several
programs to promote trade, investment, and commercial relations, and
maintains comprehensive commercial and economic data on particular
countries and regions of the world. ITA grant and cooperative agreement
programs are also intended to strengthen domestic export
competitiveness, and promote U.S. industry\'s increased participation in
international markets.

3\. [Minority Business Development Agency (MBDA)]{.underline}. The
Minority Business Development Agency is the only Federal agency created
specifically to foster the establishment and growth of minority-owned
businesses in the United States. Through grants and cooperative
agreements, MBDA provides financial assistance to public and private
organizations that provide a wide-range of business development services
to minority entrepreneurs through a nation-wide network.

4\. [National Oceanic and Atmospheric Administration
(NOAA)]{.underline}. NOAA is a federal agency focused on the condition
of the oceans and the atmosphere. It plays several distinct roles within
the Department of Commerce:

a\. Supplier of Environmental Information Products. One of the most
important resources in our society is information. NOAA supplies
information to its customers that pertains to the state of the oceans
and the atmosphere. This is clearly manifest in the production of
weather warnings and forecasts through the National Weather Service, but
NOAA's information products extend to climate, ecosystems and commerce
as well;

b\. Provider of Environmental Stewardship Services**.** NOAA also is the
steward of national coastal and marine environments. In coordination
with federal, state, local, tribal and international authorities, NOAA
manages the use of these environments, regulating fisheries and marine
sanctuaries as well as protecting threatened and endangered marine
species;

c\. Leader in Applied Scientific Research**.** NOAA is a trusted source
of accurate and objective scientific information in four particular
areas of national and global importance:

\(1\) Ecosystems. Ensure the sustainable use of resources and balance
competing uses of coastal and marine ecosystems, recognizing both their
human and natural components.

\(2\) Climate. Understand changes in climate, including the El Niño
phenomenon, to ensure that we can plan and respond properly.

\(3\) Weather & Water. Provide data and forecasts for weather and water
cycle events, including storms, droughts and floods.

\(4\) Commerce & Transportation. Provide weather, climate, and ecosystem
information to make sure individual and commercial transportation is
safe, efficient and environmentally sound.

d\. NOAA's Vision. "An informed society that uses a comprehensive
understanding of the role of the oceans, coasts and atmosphere in the
global ecosystem to make the best social and economic decisions"

e\. NOAA's Mission. "To understand and predict changes in the Earth's
environment and conserve and manage coastal and marine resources to meet
our nation's economic, social and environmental needs"

5\. [National Telecommunications and Information Administration
(NTIA)]{.underline}. The National Telecommunications and Information
Administration is the principal executive branch advisor to the
President on domestic and international communications and information
policies. It ensures effective and efficient Federal use of the
electromagnetic spectrum, develops (with other Federal agencies)
policies for international communications and standards-setting
organizations, serves as the Federal telecommunications research and
engineering center, and administers grants and cooperative agreements to
public and non-profit organizations for projects that incorporate
information and telecommunications technology.

6\. [Technology Administration]{.underline}. The Technology
Administration works to maximize technology's contribution to America's
economic growth by serving the needs of technology-based industry,
advocating Federal actions and policies to speed the transfer of
technology from the laboratory to the marketplace, and removing barriers
to commercializing new technologies by industry. The agency within the
Technology Administration that is most active in providing Federal
financial assistance is the National Institute of Standards and
Technology (NIST). NIST provides grants and cooperative agreements to
aid U.S. industry through research and services, contributes to public
health and safety, supports U.S. scientific and engineering research
communities, and works with state and local organizations to either
establish or expand existing services for small to medium sized
manufacturers. These services address critical needs in areas such as
production techniques, technology applications, and business practices.

**C**. The DOC administers a diverse array of programs and projects
concerned with the entire spectrum of business and economic development
concerns as outlined above. Departmental operating units and Grants
Offices are responsible for the award, administration, and monitoring of
these programs under a variety of legislative authorities, governing
regulations, policies, and procedures utilizing mandatory and
discretionary grants and cooperative agreements. Awards are made to a
wide variety of recipients, including state and local governments,
for-profit or commercial organizations, non-profit organizations, and
educational institutions. The administration of DOC grant and
cooperative agreement programs requires adherence not only to the
program objectives for which funds are awarded, but also to sound
business practices, as well as laws, regulations, policies, and
procedures governing grants and cooperative agreements.

**D**. The DOC views its relationship with grant and cooperative
agreement recipients as a partnership, with the recipient providing the
effort and expertise necessary to carry out approved activities and the
Department providing financial assistance and involvement as
appropriate. In implementing these respective roles, DOC has established
Grants Management Offices and Program Offices. Grants Management Offices
serve as the focal point for the business management aspects of grants
administration, including maintenance of official files and receipt of
most required reports from award recipients. The Grants Officer is the
DOC official authorized to award grants and cooperative agreements and
make decisions on requests for any changes to or revisions of any aspect
of awards, including but not limited to, terms and conditions, budgets,
and program plans (i.e., scopes of work). The Program Officers serve as
the focal point for the programmatic, scientific/technical aspects of
the programs and projects. Questions concerning interpretation of grant
and cooperative agreement policy or the applicability of certain
policies to particular programs should be directed to the designated DOC
Grants Officer.

**E.** Department-wide responsibility for developing and implementing
financial assistance administrative and operational policies rests with
the Office of Acquisition Management (OAM) under the Department's Chief
Financial Officer and Assistant Secretary for Administration (CFO/ASA).

**F**. This Grants Manual is intended to provide a common understanding
of the framework for the administration of grants and cooperative
agreements within which DOC staff and responsible recipient officials
must operate.

**G.** Questions concerning this manual should be directed to the
cognizant Grants Officer or the Director, Office of Acquisition
Management, U.S. Department of Commerce, Room 6422, Washington, D.C.
20230, telephone number: 202-482-4248.