# Presentation: 914311

## Award Administration

**NOAA GRANTS**** **

**Coastal GeoTools**
**March 5, 2007**
**Myrtle Beach, SC**

**Presenter:**
**Rimas T. Liogys**
**Director, Grants **
**Management Division**

## NOAA GRANTS PROFILE

**FY06 - $1.034B**

**20 YEAR GRANTS HISTORY BY FEDERAL SHARE**
**1987 - 2006**

## NOAA GRANTS PROFILE

**20 YEAR GRANTS HISTORY BY NUMBER OF AWARDS**
**1987- 2006**

- 0

- 10

- 15

- 20

- 25

- 30

- 35

- 40

- 45

- 50

**FY06 - 1931 grants **

**Notes:**
This graph reflects the downside to such substantial growth.  This graph depicts the number of grants that are being processed in our grants office.  The number of grants has increased from about 600 to over 1900 since the early 1980s, but we have had an average of 17 FTEs in that office the entire time.  Since FY04 we have been conducting extensive analyses of the workload and even with the streamlining initiatives and arrival of Grants OnLine we still need additional staffing resources to handle the magnitude and complexities of the changing grants world.  We have increased our FTEs to about 18 people for FY06 (16 due to current vacancies) who are now charged with handling over 1900 grants and 1100 administrative actions which they are trying very hard to get out on time.  

## NOAA FY 06 TYPES of FEDERAL FUNDING 

**Discretionary Funding**

**Non-Discretionary Funding**

**Grant Awards (1931)**

**Grant Dollars ($1.034B)**

**301 (15%)**

**205 (10%)**

**439 (23%)**

**214 (11%)**

**11 (1%)**

**$110.9     (11%)**

**$234.9M (23%)**

**772 (40%)**

**$298.3M  (29%)**

**$197.1M (19%)**

**$160.1M (15%)**

**$36.4M (3%)**

**Competitive **

**Non- Competitive **

**Soft Earmarks **

**Institutional **

**Formula**

**Discretionary Funding**

**Non-Discretionary Funding**

**Competitive **

**Non- Competitive **

**Soft Earmarks **

**Institutional **

**Formula**

**Congressionally Mandated**

**Congressionally Mandated**

## Grant Processes

- Planning
- Pre-award
- Award
- Execute and monitor
- Close-out
- Audit
- Performance Goals

## What is Financial Assistance?

**Definitions:**
**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.**

## What is the difference...

**A grant has no substantial involvement by the Federal Government.**
**The recipient is expected to perform the project without substantial collaboration or intervention by NOAA.**
**A cooperative agreement includes substantial involvement of the Federal government during performance of the proposed activity.**
**Able to halt activity immediately if detailed performance specifications are not met;**
**Specifies direction or re-direction of scope of work due to the inter-relationship with other projects;**

**...****between a grant and cooperative agreement?**

## What is the difference...

**Collaborates with the recipient by working jointly with a principal investigator in carrying out the scope of work, training personnel, detailing Federal personnel to work on the effort; and/or**
**Limits recipient discretion with respect to scope of work, organizational structure, staffing, mode of operations and other management processes, coupled with close monitoring or operational involvement during performance.**
**Is NOT:**
**Normal stewardship, correcting project deficiencies, or pre-award survey to correct management deficiencies.**

**...****between a grant and cooperative agreement?**

## What is the difference...

**Is the principal purpose of the award to meet the needs of a **_**nonfederal**_** entity carrying out  an activity that Congress has decided to assist as a matter of public policy by statute?**
***    ******Answer Yes:  Grant or Cooperative Agreement***
**Is the principal purpose of the award to acquire goods or services that will be used by NOAA to carry out its public mission?**
***    ******Answer Yes:  Procurement Contract***

**...****between a grant/cooperative agreement and **
**a contract award?**

## Discretionary Funding – Competitive Awards

**Omnibus Notice**
**Published 2x a year on/around June 30 and Dec 31**
**Proactive approach to spreading the workload**
**Federal Register / Vol. 71, No. 112 / Monday, June 12, 2006 / Notices, Page 33898**
**Availability of Grant Funds for Fiscal Year 2007**
**Stand Alone FRNs**
**NOAA’s Broad Area Announcement**
**Published February XX, 2007**

## NOS PROGRAMS

***National Ocean Service***
- 1. 	**California Bay Watershed Education and Training (B-WET) Program- Meaningful Watershed Experiences for San Francisco, Monterey, and Santa Barbara**
**2. ****	****Bay Watershed Education and Training-**
**	****B-WET Hawaii**
**3. ****	****FY 2007 Climate and Weather Impacts on Society and the Environment (CWISE), FY 2007**
**4. ****	****Coastal Hypoxia Research Program(CHRP)**
**5. ****	****Reef Ecosystem Studies (CRES)**
**6. ****	****Cumulative Impacts of Multiple Stressors (MultiStress**

**7. ****	****Information Resource Supporting the Resiliency of Coastal Areas in the US Portion of the Gulf of Mexico**
**8. ****	****Monitoring and Event Response for Harmful Algal Blooms (MERHAB)**
**9.****	**** NOAA Coral Reef Conservation Grant Program - International Coral Reef Conservation Grants**
**10. ****	****NOAA Coral Reef Conservation Grant Program - State and Territory Coral Reef Ecosystem Monitoring Grant**
**11.****	**** NOAA Coral Reef Conservation Grant Program - State and Territory Coral Reef Management Grants**

## Timely Submissions

**Must adhere to deadlines for submission as identified in the Federal Register Notice or other announcement to be considered under a competitive program.**
**Timely submission requirements established by Program Office for other types of funding**
**Planning is a key element for submissions:  NOAA operating under performance measures that are based on the FRN deadline or the date of the signed appropriations (FY05 Signed Dec. 8, 2004)**

## Application Forms

**SF424 – Application for Federal Assistance**
**SF424A – Budget Information **
**SF424B – Assurances**
**SF424C – Construction Budget**
**SF424D – Assurances for Construction**
**CD511 – Certification regarding lobbying (Note: New form)**
**CD512 – Certification regarding lobbying lower tier transactions (Note: New form)**
**SFLLL – Disclosure of Lobbying activities**
**Complete/submit only if engaged in lobbying**
**See DOC regulations in 15 CFR Part 28**

## Where can you find these forms?

- _[http://](http://www.grants.gov/)__[www.grants.gov](http://www.grants.gov/)__[/  ](http://www.grants.gov/)_
- _[http://www.whitehouse.gov/omb/grants/index.html](http://www.whitehouse.gov/omb/grants/index.html)_** **
- _[http://www.cfda.gov](http://www.cfda.gov/)_
**Catalog of Federal Domestic Assistance (CFDA) not as current as the above sites.**

## SF424 – Federal Application

**A few things to focus on:**
**Descriptive title: should reference the activity but no more than a few words.**
**Proposed project start/end dates **
**Start project on 1****st**** of the month**
**End project on last day of the month**
**Eg. 04/01/2005 – 03/31/2006 (12 months)**
**Multi-year awards should reflect the full funding period**
**Eg. 04/01/2005 – 03/31/2008 (36 months)**
**Congressional Districts  **
**Applicant: Based on applicant’s address**
**Project: District based on address/location of work being done.  **
**Go to **_[www.congress.org](http://www.congress.org/)_** and enter zip code for district**
**Estimated Funding**
**Federal share: must be amount to be funded**
**Non-Federal share: can be listed under “Applicant” if only from recipient resources or broken down by categories of State, Local, Other if 3****rd**** party contributions**

## Budget Formulation

***Requirements and Procedures***

## Budget Formulation

**Function of budget and justification:**
**to provide a clear and measurable cost allocation to the described functions of the specific award.  **
**show direct correlation between cost and the activities to be performed. **
** **
**to determine the cost per task and subtask from the budget and the information provided in the budget narrative.**

## Budget Definitions

**Direct Cost – Identified specifically with a particular cost objective; i.e., particular award, project, service, or other direct activity of an organization.**
**Indirect Cost – Costs that have been incurred for common or joint objectives and cannot be readily identified with a particular final cost objective.**

## SF424A – Budget 

**Costs must be:**
**Allowable**
**Reasonable**
**Allocable**
**Consistently Applied**
**Cost Principles to be consolidated under 2 CFR as follows**
**OMB Circular A-21 as 2CFR Part 220 Educational Institutions**
**OMB Circular A-87 as 2CFR Part 225 for State & Local Governments**
**OMB Circular A-122 as 2CFR Part 230 for Non-Profit Organizations**
**48 CFR Part 31 to remain as is for commercial and individuals**
**Cost comparisons available under tab 4**

## Budget 

**Reasonable Costs**
**Costs incurred by a prudent person;**
**Costs recognized as ordinary and necessary for the operation;**
**Restraints or requirements imposed by such factors as arms’-length bargaining, Federal or state laws, or terms and conditions of the agreement;**
**Market Prices for comparable goods or services;**
**Whether or not the individuals concerned acted with due prudence;**
**Consideration of significant deviations from established practices of the organizational unit which may unjustifiably increase costs**

## Budget Definitions

**Allowable Cost:**
**cost that is reasonable; **
**conforms to limitations or exclusions in the award;**
**consistent with organizations policies and practices;**
**treated consistently throughout the organization;**
**in accordance with GAAP; **
**not included as cost share on another award; and **
**be adequately documented.**

## Budget Definitions

**Allocable Cost**
**A cost is allocable to a particular cost objective in accordance with the relative benefits received.**

## Budget Cost Realism

**What is cost realism?**
**Cost realism analysis determines whether the estimated proposed cost elements:**
**Are realistic for the work to be performed;**
**Reflect a clear understanding of program requirements;**
**Are consistent with the unique methods of performances and materials described in the applicant’s proposal**
**Cost realism may result in a upward or downward adjustment to the cost proposal**

## Budget Cost Realism

**What are examples of Cost Realism:**
**1.  Is 1 ton of sand a realistic need for a 1⁄2 mile beach restoration project?  Is 2 tons realistic, or 1⁄2 ton?**
**2.  Are 10 trips from Hawaii to Florida realistic for the effort proposed?  Is 5 trips realistic, or 20 trips?**
**3.  Is it realistic to have cell phones, pagers, and Nextel communication on a Grant?  Would cell phones suffice?**
**4.  Is a 40’ boat realistic for the proposed effort or will a 20’ boat suffice?**

## Budget Cost Basis

**What are acceptable basis for costs?**
**	****	****1.  Actual costs;**
**	****	****2.  Historical costs;**
**	****	****3.  Catalogue prices;**
**	****	****4.  Competitive quotes;**
**	****	****5.  Travel agent quotes for airfare.**

## Budget Review Checklist 

_**SALARIES AND WAGES:**_
**1.****	****Is each individual identified by name and position? **
**2.  ****	****Are time commitments such as hours and percent of time stated for each       position?**
**3.  ****	****Are the total charges for each person listed along with an explanation of how the costs were calculated?**
**4.  ****	****Do the combined charges for all activities of any individual exceed 100% of **
**     ****	****their time?**
**5.****	****Do the time commitments and charges appear reasonable?**
**6.****	****For support or executive personnel, are costs charged to salaries excluded**
**      ****from the indirect cost category?**
**7.****	****Are all individuals employees of the applicant organization? (If not, explain)**
**8.  ****	****Is a cost of living increase built into the budget?**
**9.  ****	****Are salary increases justified for the grant period?**
**10. Are any salary/personnel costs unallowable?.   (i.e. Federal Employees or**
**	****legislative personnel)**

## Budget Review Checklist 

**FRINGE BENEFITS:  *****The budget narrative must provide a description and breakdown of the benefits received by personnel when rates are higher than 35%.***
**1.****	****Are fringe benefits identified as a separate item?**
**2.****	****Are all the elements that comprise fringe benefits indicated?**
**3.****	****Do the fringe benefits and charges appear reasonable?**
**4.****	****Are the total charges for each person listed along with an**
**     ****explanation of how the charges were calculated?**
**5.****	****Are fringe benefits charged to federal and matching categories **
**     ****in the same proportion as salaries?**

## Budget Review Checklist 

**TRAVEL: *****The budget narrative must provide a detailed breakdown of travel costs totaling more than $5,000 or 5% of the total project cost, whichever is greater.***
**1. ****	****For foreign, domestic and local travel, is each trip listed along with the destination, estimated mileage, method of travel, cost per mile and duration, number of travelers, per diem rate for meals and lodging?**
**2.****	****If actual trip details are unknown, what is the basis for the proposed         travel charges? **
**3. ****	****Is the requested travel directly relevant to the successful completion of the project?**
**4.****	****Are the travel charges reasonable and realistic?**
**5.****	****Contingencies or miscellaneous charges must be excluded!**

## Budget Definitions

**Supplies**
**Tangible, expendable, personal property having a useful life of less than one year. (Examples, pencils, paper, pens, toner cartridges, etc.)**
**Equipment**
**Tangible, nonexpendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. (Examples, boats, cars, mainframe computers)**

## Budget Review Checklist 

**SUPPLIES: *****The budget narrative must provide a detailed breakdown of supply costs totaling more than $5,000 or 5% of the total project cost, whichever is greater.***
**	****1.****	****Are supplies itemized by type of material or nature of expense?**
**	****2.****	****For general office or business supplies, is the total charge listed along with ****	****the basis for the charge (i.e. historical use rates)?**
**	****3.****	****For other specific supply categories, is the number of units, cost per unit and**
**            ****	****total cost specified?**
**	****4.****	****Are the charges necessary for the successful completion of the project?**
**	****5.****	****Are the charges reasonable and realistic?**
**	****6.****	****Are disallowed costs (e.g. liquor, entertainment) excluded?**
**	****7.****	****Contingencies or miscellaneous charges must be excluded!**

## Budget Review Checklist 

**EQUIPMENT:   *****For any item(s) of equipment where the individual cost exceeds $5,000, a description of the item and associated costs is required.***
**	****1.  Is each item of equipment listed?**
**	****2.  If over $5,000 is there a description of how it will be used in the project?**
**	****3.  If over $5,000 has a lease versus purchase analysis been completed?**
**	****4.  For each item of equipment, is the number of units, cost per unit and total cost specified?**
**	****5.  Is each item of equipment necessary for the successful completion of the project?**
**	****6.  Are the charges for each item reasonable and realistic?**
**	****NOTE: At the end of the Grant, you must seek disposition instructions pursuant 15** **CFR 14.34 (g) or 15 CFR 24.32 (e).**

## Budget Review Checklist

**CONTRACTUAL:****   **
**	****1.  Is each contract or sub-grant listed as a separate item? (Separate budgets are required for sub-grants or contracts regardless of the dollar value.)**
**	****2.  Are the products/services to be acquired described along with the applicability of each to the project?**
**	****3.  Do the costs appear reasonable and realistic?**
**	****4.  Are any sole source contracts contemplated?**
**	****5.  If yes, is a sole source justification included with the application which describes why the proposed sole source entity is the only source capable of meeting the applicant's project needs ?**

## Budget Review Checklist

**Contractual (cont’d)**
**	****6.  Are disallowed costs excluded?**
**	****7.  Contingencies or miscellaneous charges must be excluded!**
**	****8.  Are there contracts with non-US organizations?**
**	****9. Do you have a CD-512 on file for each of your sub-grants or contracts?**

## Budget Review Checklist

**CONSTRUCTION:**
**	****1.****	****Is the construction/renovation authorized for this program? **
**	****2****	**** Is the construction/renovation described?**
**	****3.****	****Is the method described which was used to calculate costs?**
**	****4.****	****Are the proposed costs presented in sufficient detail? Should ****	****include the following:**
**	****	****a.  A listing of work to be performed **
**	****	****b.  Cost detail by task or work order contemplated**
**	****	****c.  Is the work being done by the applicant or outside ****	****contractors?**

## Budget Review Checklist 

**CONSTRUCTION  (cont’d)**
**	****5. Is there a need for the type of work/costs being proposed?**
**	****6. Is the basis for the estimates of cost present?  (Is there documentation to support cost estimates?)**
**	****7.  Are the costs justified, reasonable, allowable, and realistic?  Verify costs proposed to quotes received. (Generally, the presence of more than one bid obviates the need for extensive tests for reasonableness due to the element of competition involved.)**

## Budget Review Checklist 

**OTHER:**
**	****1.****	****Are items listed by type of material or nature of expense?**
**	****2.****	****For each charge, is the number of units, cost per unit and total cost specified?**
**	****3.****	****Are the charges necessary for the successful completion of the project?**
**	****4.****	****Are the charges reasonable?**
**	****5.****	****Are disallowed costs (e.g. liquor, entertainment) excluded?**
**	****6.****	****Are charges which duplicate indirect cost items excluded?**
**	****7.****	****Contingencies or miscellaneous charges must be excluded.**

## Budget Review Checklist

**INDIRECT COSTS**
**1. Are indirect costs requested?**
**2. Is a copy of the current approved rate from the cognizant ****	****agency ****	****included?**
**3. Is the correct rate being used?**
**4. Is the rate applied to the correct base?**
**5. Are charges which duplicate direct costs excluded? (If no,**
**	****explain/revise).**

## Budget Submissions

**What submissions have provided:**
**1.  Poor documentation**
**2.  Indirect rates that do not match rate agreement**
**3.  Budget narratives that do not add up correctly**
**4.  Wrong per diem rates**
**5.  Inconsistent salaries proposed for the same person**

## Post Award 

***Requirements and Procedures***

## What is a Post Award Action?

**Any change to an approved project or program such as a revision to the budget, scope of work, or extension to the project period**
**Most post award actions require prior approval from the Grants Officer**

## Requests for Prior Approval

- In writing or email (Grants Online in FY06)
- From the authorized representative
- Appropriate supporting documentation
- Submitted to Program Officer at least 30 days prior to effective date
- PO reviews/recommends to Grants Officer
- Approval in writing by GO

## Compliance Requirements

**In compliance with terms and conditions**
**Is there an original countersigned agreement (CD450/CD451)?**
**Receipt/acceptance of satisfactory progress/performance reports**
**Receipt of Financial Reports **

## Types of Post Award Actions

**No cost Time Extensions**
**Budget Transfers/Program Revisions/Changes in Scopes of Work**
**Others**
**Equipment purchases**
**Foreign Travel/Foreign Flag carrier**
**Change Absence of PI**
**Subaward/Contract to Federal Agency**
**Other subawards/subcontracts**
**Carry over of funds**
**Special Award Condition approval**

## Time Extensions

**Length of time (i.e., number of months) and start/end dates of extension**
**Description of remaining work to be completed during extension**
**Explanation of why work was not completed**
**Amount of remaining unobligated funds**
**Budget for work to be completed (Federal & Non-Federal shares) generally in same format as original budget**

## Budget/Program Revisions

**Reason for rebudgeting**
**Line item budget**
**Cumulative transfers that exceed 10% of the last approved budget (Fed&Non-Fed)**
**For awards where Federal share is less that $100K, no prior approval required for transfers**
**Unless**
**Transfer creates a new budget category**
**Transfer between direct and indirect costs**

## Equipment Purchase

**Equipment is defined as non-expendable, tangible personal property with a unit cost of $5,000 or more and has a useful life of more than one year**
**Prior approval is required for purchase of equipment not specifically identified in the application that was approved under an award.**

## Equipment Purchase

**Written request should include:**
**Explanation of why the equipment is necessary for successful completion of the project;**
**Listing of the equipment and how it will be used;**
**Include a Lease vs. Purchase analysis if appropriate; and**

## Equipment Purchase

**If an Equipment line item was not previously established in the award, then an explanation of how the scope of work may or may not have been affected.**
**Any equipment purchase that is requested in the last 90 days of an award must include sufficient justification for such purchase during the end of the project period.**

## Monitoring and Closeouts

***Requirements and Procedures***

## Required Reports

***Financial Status Report (FSR)***
***Provides complete disclosure of grantee ******	******expenditures  and obligations for each award ******	******during a specific period***
***Standard Form SF-269 ******B****** Long Form***
***(includes detailed reporting for program income)***
***Standard Form SF-269A ******B****** Short Form***
***(recommended)***

## Filling out the SF-269/A

***Common Mistakes or Problems***

***Not reporting financial information for required ******	******periods***
***No reporting of recipient match as required***
***Non-Federal funds should be expended at a proportional rate to Federal funds***
***Cannot expend all Federal funds first***
***Not providing previously reported amounts***
***Incorrect accounting for indirect expenses***
***Delinquent reports***

## Required Reports (cont=d)

***Federal Cash Transactions Report***

***Federal Cash Transactions Report ******B****** Standard ******	******Form SF-272***
***Can report on multiple awards ***
***(also use SF-272A to list awards)***
***Used to monitor cash advances drawn by the ******	******	******	******	******recipient and to ensure that excess funds are not held on hand***
***Reporting on cash on hand***
***(amounts of $5,000 or more and/or for more than 3 days must ******	******	******be explained under remarks section)***

## Reporting Schedule

***Financial Reports***

***SF-269 and SF-272:***
***Submitted semi-annually/annually or Final***
***Due to the Grants Officer ***_***no later than 30 days***_*** after the end of the reporting period***
***Required for the following set periods:***
***April 1st ******B****** September 30th:  due by October 30th***
***October 1st ******B****** March 31st:  due by April 30th***
***If the effective date of the award does not begin on April 1st or October 1st, then the first financial report will cover only the portion of the reporting period since the award began.***
***Final reports are due within 90 days after expiration of the award***

## Reporting Schedule

**Financial Reports**

***SF-269 and SF-272:***
***Submitted semi-annually/annually or Final***
***Due to the Grants Officer ***_***no later than 30 days***_*** after the end of the reporting period***
***Required for the following set periods:***
***April 1st ******B****** September 30th:  due by October 30th***
***October 1st ******B****** March 31st:  due by April 30th***
***If the effective date of the award does not begin on April 1st or October 1st, then the first financial report will cover only the portion of the reporting period since the award began.***
***Final reports are due within 90 days after expiration of the award***

## Filling out the SF-272

**Common Mistakes and Problems**

***Not reporting cash information for required ******	******periods***
***Not explaining cash on hand in excess of ******	******$5,000 and/or needed for more than 3 days***
***Delinquent reports***

## Reporting on Project Performance

***Reporting Requirements***

***The Recipient is responsible for managing, ******	******monitoring, and reporting on their ability to ******	******meet project or program objectives.***
***A report of these activities is often called a ******	******Progress or Performance Report.***
***Progress Report must be submitted to the ******	******Program Officer for the frequency specified in ******	******the award.***

## Progress Report Periods

**Initial and Interim Reports**

***Semi-annual progress reports***
***Due to the Program Officer no later than 30 days after ******	******each six month period starting from the effective date ******	******of the award***
***Interim reports continue consecutively until the award ******	******expires ***
***(If the award is extended through award amendments and/or time ******	******extensions, then the interim reports continue until the end of the ******	******new expiration date of the award.)***

## Final Reporting

**Progress Reports**

***ALL final reports are due within 90 days after ******	******the expiration of the award***
***Two Types of Final Progress Reports***
***Comprehensive ******B****** covers all activities conducted ******	******during the entire award period***
***Last ******B****** is the last consecutive report which may be for a ******	******period less than required for interim reports***
***Program Office determines whether a Comprehensive ******	******Final Report is required or if the last report covering ******	******the remainder of the award period can serve as the ******	******final.***

## Award Expiration

***Closeout Period***

***The closeout period is the 90 days following ******	******the expiration of the award in which the ******	******recipient is to prepare final reports and make ******	******final draw downs and payments.***
***All final reports (financial and performance) ******	******should be submitted during the 90-day ******	******closeout period unless a request for an ******	******extension is submitted to the Grants Office.***

## Compliance Issues

***Reports are considered delinquent if not ******	******submitted to NOAA within the required ******	******deadline period***
***(typically within 30 days after the reporting period ******	******ends)***
***A letter will be sent to the recipient if ******	******delinquent in submitting financial reports.***
***Satisfactory progress must be made for the ******	******Program Officer to certify acceptance of a ******	******progress report.***

## Consequences

***Draw down capability (ASAP) will be ******	******suspended***
***Funded actions (i.e., new applications and ******	******requests for additional/continued funding) will ******	******be suspended***
***Unfunded requests requiring prior approval ******	******from the Grants Officer cannot be approved***
***Debt may be established for the recipient***

## Closeout

- Review and accept final financial and performance reports
- Review entire grant file to ensure award compliance
- Reconcile accounts between Finance Office and Grants Management Division
- Deobligate excess funds
- Provide property disposition instructions