FY09 NOAA Grants Federal Program Officer’s Training Workshop

1. FY09 NOAA Grants Federal Program Officer’s 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@noaa.gov 301-713-1364 x118 • National Ocean Service (NOS) • Jane Piercy- jane.piercy@noaa.gov (301)713-3050 x161 • Office of Atmospheric Research (OAR) • Sharon Schroeder– sharon.schroeder@noaa.gov (301) 713-1172 • National Environmental Satellite, Data, Information Service (NESDIS) – Ingrid Guch- ingrid.guch@noaa.gov (301) 713-9208 • National Weather Service (NWS) • Sam Contorno - samuel.contorno@noaa.gov (301) 713-3557 x150 • UnderSecretary, Office of Education (OE) • Sarah Schoedinger - sarah.schoedinger@noaa.gov (704) 370-3528

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 director’s 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 GMD’s 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. GMD’s 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 aProcurement 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-Competitive 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 grantee’s 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 National 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. Grants Online 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

36. Grants Online 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 Online Grants.gov Background • Grants.gov is a single government-wide source for information about grant programs • One of 24 E-government initiatives • Includes >1,000 grant programs from 26 federal grant-making agencies • $460 billion in annual awards • Administered by Department of Health and Human Services

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

40. Grants Online Finding Grant Opportunities Basic search Browse by category Browse by agency Advanced search E-mail alert notification service

41. Grants Online Search Screen

42. Grants Online Basic Search Basic searches use: Keywords Funding opportunity numbers Catalog of federal domestic assistance numbers

43. Grants Online Basic Search

44. Grants Online Category Search

45. Grants Online 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. Grants Online 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. Grants Online 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. Grants Online 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. Grants Online Sample E-mail Notification about a Coastal Related Opportunity -------- Original Message -------- Subject: Grants.gov Opportunities Posting Update Date: Wed, 07 Feb 2007 00:35:45 -0500 (EST) From: notifier@grants.gov To: James.L.Free@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?mode=VIEW&oppId=12487

50. Grants Online Catalog of Federal Domestic Assistance An index of all programs and their Catalog of Federal Domestic Assistance numbers are at: www.cfda.gov