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Level 1 Authorized Departmental Officer Training

Level 1 Authorized Departmental Officer Training. Grants and Agreements Branch, Financial Management and Agreements Division Kathleen Townson, Grants Management Analyst | Ingrid S. Charlton, Grants Management Analyst. August 19, 2014. Welcome!.

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Level 1 Authorized Departmental Officer Training

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  1. Level 1AuthorizedDepartmentalOfficerTraining Grants and Agreements Branch, Financial Management and Agreements Division Kathleen Townson, Grants Management Analyst | Ingrid S. Charlton, Grants Management Analyst August 19, 2014

  2. Welcome! This training will provide you a foundation of the ARS Agreements Process and get you one step closer to receiving your Level One Delegation of Authority for Agreements. It will also provide specific information on awarding Research Support Agreements and Standard Cooperative Agreements.

  3. Course Outline • Module I: Delegation of Authority • Module II: Policies and Procedures • Introduction to Extramural Agreements • Roles and Responsibilities • Types of Agreements • Formation and Administration of the RSA • Use of the StCA • Additional Information • Module III: ARIS/AIMS Demonstration

  4. Module I: DELEGATION OF AUTHORITY

  5. Delegation of Authority “Delegation of Authority” is the authority to commit the resources of the Agency, on behalf of the ARS Administrator. Employees acting under a delegation of authority are acting as an agent of the ARS Administrator. Delegating the signature authority of the ARS Administrator accomplishes numerous program objectives and efficiencies. Aside from relieving the ARS Administrator the burden of personally signing individual agreements, the delegation of authority allows for closer monitoring and administration of extramural agreements by ARS personnel.

  6. Delegation of Authority ARS personnel acting under a Delegation of Authority are known as anAuthorized Departmental Officer or “ADO”

  7. Delegation of Authority • ADOs are delegated the authority to act as an agent of the ARS Administrator with regard to: • Signing agreements that obligate funds and commit the resources of the Agency Obligation A definite commitment that creates a legal liability of the government for the payment of goods and services ordered or received, or a legal duty on the part of the United States that could mature into a legal liability by virtue of actions on the part of the other party beyond the control of the United States.*

  8. Delegation of Authority • ADOs are delegated the authority to act as an agent of the ARS Administrator with regard to: 2. Providing fiscal and administrative oversight for extramural agreements.

  9. Delegation of Authority • Depending on your job functions and the needs of the Agency, there are several different Delegation of Authority levels. • The next slide describes the basic functions and responsibilities for each level, as described in P&P 700.0 v.2, Delegation of Authority for Authorized Departmental Officers.

  10. Delegation of Authority

  11. Delegation of Authority:Training Requirements • In order to be considered qualified to perform the duties associated with each delegated level of authority, all Grants Management Specialists (and Administrative Officers for Level 1) must fulfill the prescribed training requirements identified for each respective level.

  12. Delegation of Authority:Level One Training Requirements • Level One Delegation Training Requirements: • Cost Principles for Federal Grants (Management Concepts, Inc.)http://www.managementconcepts.com/Course/id/2080 • Ethics - Two required Modules (AgLearn) • Gifts from Outside Sources, and • Conflicting Interests

  13. Delegation of Authority:Level One Training Requirements • Maintenance Training. ADOs are required to complete 16 hours of relevant maintenance training every 3 years. Maintenance training requirements can be found in P&P 700.0 v.2, Delegation of Authority for Authorized Departmental Officers.

  14. Now that you know why you need this training and what you can do with a Delegation of Authority, let’s get started!

  15. Module II: PolicIES and Procedures

  16. MODULE II: Policies & Procedures 1. Introduction to Extramural Agreements In this chapter, we will cover: The administrative structure of the agreements process, including reviewing the organizational units involved, the organizational structure of the Grants and Agreements Staff, and the primary contacts for agreements. The Legal Authorities related to agreements and the Order of Precedence.

  17. Financial Management and Agreements Division (FMAD)

  18. FMAD,Grants & Agreements Management Branch (GAMB) • GAMB is a part of the Financial Management and Agreements Division, which provides • most financial functions of ARS, • the Travel Services Branch, and • Agreements. • GAMB is organized into two sections: Policy and Operations.

  19. FMAD,GAMB Policies and Operations • Policy Staff: • ensure all Federal regulations are incorporated into ARS agreements; • manage the AIMS database; and • administer all internal and external reporting requirements. • Operations Staff • service all HQ, REE, and foreign agreements; • provide area-wide assistance.

  20. Structure and Organization The Grants and Agreements Management Staff (GAMS) has a three-part oversight structure. Policy staff provide policy guidance which directs the legal requirements of the agreements executed by the Grants Management Specialists. The two Business Service Centers’ agreementsstaff have oversight(not supervision) of their respective Locations. The authority to enter into agreements is vested in the ADOs, with limited delegation of authority to most AOs at the Locations.

  21. Business Service Centers (BSC)

  22. ARS Statutory Authority • The Food Security Act of 1985 (Public Law No. 99–198) amended Section 1472(b) of the National Agricultural Research, Extension, and Teaching Policy Act of 1977 (7 U.S.C. 3318(b)) provides ARS the statutory authority to use the Specific Cooperative Agreement (SCA) and the Research Support Agreement (RSA) as long as there is mutual interest in the objectives of the agreement and all parties will contribute resources. ANDunder this authority we do all of this noncompetitively!

  23. Order of Precedence When awarding agreements, it is important to know which applicable laws apply to each specific agreement. Understanding the “order of precedence” helps to clarify what rules/laws need to be followed and when. Statutes are the utmost of the law and the provisions contained there, and the other regulations (i.e. Cost Principles and 7 CFR Part 550, General Administrative Policy for Non-Assistance Cooperative Agreements), flow down to the specific terms and conditions outlined in the Statement of Work. • Statutes • Program Regulations • Administrative Regulations • Office of Management and Budget (OMB) Circulars and Directives • Agency Policy (P&Ps and Bulletins) • Extramural Agreement Terms and Conditions

  24. Check in • Do you know who to contact for more information on agreements?

  25. Check in • Do you understand why it is important to have the authority to enter into grants and agreements?

  26. MODULE II: Policies & Procedures 2. Roles and Responsibilities In this chapter, we will cover: The primary players involved in the administration of agreements and how they interact with one another The roles and responsibilities of the ADO, ARS PI, and the AO

  27. The Primary Players • There are three key players with overlapping but specific roles who ensure a successful agreement. • ADO – Serves as the head administrative agent for extramural agreements. • ARS PI (formerly known as the Authorized Departmental Officers Designated Representative, ADODR) – Represents the ADO as the technical administrator of agreements. Only a CAT 1, CAT 4, or CAT 6 scientistcan be an ARS PI. • AO – Provides administrative assistance to the ARS PI and Location and/or serves as a Level 1 ADO on the RSA or StCA.

  28. The Primary Players (continued) • There are other key personnel involved in the agreements process, and they should be consulted as needed: • PA: Area Program Analyst • PSA: Program Support Assistant • SBFO: Servicing Budget & Fiscal Officer Remember... We are a team working together to support the science!

  29. Roles of the ADO • The ADO is the Agency’s Official authorized to enter into, administer, closeout, and terminate agreements. • The ADO ensures that: • ARS interests are protected • All agreements - incoming AND outgoing - are legally and fiscally sound • Both parties are held accountable for performance responsibilities and compliance with all terms and conditions • Appropriate actions are taken if either party fails to meet the terms and conditions of the agreement

  30. Roles of the ADO • Recommends the type of award • Ensures that all pre-award requirements are met • Determines the eligibility of the Cooperator or Sponsor • Assists the RL in determining who should be delegated authority to perform as an ARS PI • Ensures the ARS PI performs the duties within their delegation • Negotiates and approves all final terms and conditions • Maintains the official documentation in e-Green in AIMS

  31. Roles of the ADO • Authorizes and approves payment requests • Ensures that all the terms are kept current throughout the life of the agreement • Parties are notified of expiring agreements • Initiates and completes closeout The ADO is the only person that can obligate funds or commit the resources of the Agency with regard to extramural agreements.

  32. Roles of the ARS PI • The ARS PI is the Agency’s technical representative for the agreement, acting on behalf of the ADO. • The ARS PI has no authority to obligate funds or commit the resources of the Agency. • The ARS PI, the Location Support Staff, and the ADO must work closely together to support the research needs of the project.

  33. Roles of the ARS PI • The function of the ARS PI in the agreements process is to:

  34. Roles of the ARS PI • The ARS PI must complete the required training to be designated on an agreement. See P&P 701.0 v.2, Selection, Appointment, and Responsibilities of the Agricultural Research Service, Principal Investigator (formerly the ADODR), for detailed information on roles and responsibilities and additional information.

  35. Roles of AO • Provides a variety of management services essential to the direction and operation of the Location or Center. The AO assists the ARS PI in the administrative management of extramural agreements. • May also serve as the ADO on the RSA (unlimited dollar amount) and StCA (zero dollar amounts) if granted a Level 1 Delegation Authority from FMAD.

  36. Roles of AO • Provides advice and guidance on administrative requirements of the agreement • Assists applicants in completing the application package (for incoming grants or cooperative agreements) • The AO also confirms the availability of funds It is important for the AO and ARS PI to communicate often and openly regarding the status of agreements.

  37. Check in • Do you understand what your role is and what your responsibilities are in the agreements process?

  38. MODULE II: Policies & Procedures 3. Types of Agreements In this chapter, we will cover: How to determine the correct type of instrument The different types of extramural agreements, including: Outgoing Agreements Incoming Agreements

  39. Types of Agreements • ARS uses different types of instruments to provide federal financial assistance and to enter into partnership arrangements with: • States and local governments; • for profit and non profit organizations; • hospitals; • public and private universities and colleges; • individuals; • the original land grant universities; and • organizations in foreign countries

  40. Types of Agreements • In order to determine the correct instrument to use, there are five important questions to ask: • What is the principal purpose of the agreement? • What is the nature of ARS’ anticipated involvement? • What benefit will ARS derive from the agreement? • What is the anticipated relationship between ARS and the cooperator/recipient? • Will either party contribute funds, and if so, who will provide them?

  41. Outgoing vs. Incoming • There are two main categories of agreements: • Outgoing: A type of agreement used to transfer resources from ARS to an outside organization/ cooperator • Incoming: A type of agreement used to transfer funds into ARS from an outside organization or sponsor

  42. Outgoing Agreement Types • Assistance Type Cooperative Agreement (ATCA) • Grant • Specific Cooperative Agreement (SCA) • Non-Funded Cooperative Agreement (NFCA) • Research Support Agreement (RSA) • Standard Cooperative Agreement (StCA) • Memorandum of Understanding (MOU) • Outgoing Interagency Agreement (OIA) Let’s go through each definition and identify special considerations and uses for each type.

  43. Assistance Type Cooperative Agreement • An “ATCA” transfers a thing of value, usually money, to the recipient to stimulate or carry out a public purpose. • ARS is substantially programmatically involved with the recipient during the performance of the project. • Competition is required (waiver may be obtained and must be documented in the official file). • Awarded under 7 U.S.C. 3318(c)

  44. Grant • A Grant transfers a thing of value, usually money, to the recipient to stimulate or carry out a public purpose. • Is also a type of financial assistance awarded to an organization for the conduct of research or other program, as specified in an approved proposal. • Used whenever the awarding office anticipates no substantial programmatic involvement between ARS and the recipient during the performance of the activities. • Competition is required (waiver may be obtained and must be documented in the official file) • Awarded under authority 7 USC 3318(c)

  45. Grant vs. ATCA • The difference between a Grant and an ATCA is the amount of involvement that ARS has in the project. • If an ARS PI is substantially involved, then we award an ATCA. • If the ARS PI is not substantially involved, then a Grant is awarded. • Subawards from an incoming grant should be awarded with an ATCA. • Competition is required for both (waiver may be obtained and must be documented in the official file).

  46. Form REE-455, Grant and Assistant Cooperative Agreement Budget Only the left column is used. Any budget categories requiring a breakdown populate as the budget narrative on page 2 of the budget. (next slide)

  47. Page 2, Form REE-455

  48. Specific Cooperative Agreement • An agreement between the Agency and another party (the Cooperator) that describes in detail a jointly planned and executed research program or project of mutual interest between the parties and where both parties contribute resources. • Awarded under 7 U.S.C. 3318(b) • The agreement must identify: • Mutual Interest, and • ARS Contributions and Cooperator Contributions

  49. Special Considerations for SCAs • Cooperator Contributions shall be maintained at 20 percent of the total Federal funding throughout the life of the award. • Cooperators may show both DIRECT & INDIRECT contributions, or only DIRECT contributions. • Amendments to SCAs shall continue to document a 20 percent cooperator contribution and the mutual interest.

  50. Form REE-454, Cooperative Agreement Budget ARS In-House Costs (contributions) can include the SBIR fee, which came out of the lab’s account, as the lab’s indirect costs. (obtain from ARIS) Cooperator Contributions here show more than 20% of the Total award. ($393,025 x 20% = $78,605) Page 2 shows the budget narrative.

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