California PLC Instructor Workbook

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California PLC Instructor Workbook

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California PLC Instructor Workbook

  1. 1. Welcome-Instructor Notes Revised 03/03/08 Filename: s:federalaidcoursescourse_modulescourseinfowelcomeplc- welcome.doc Enter Name of Course: Project Leaders Course 2008 Welcome-Instructor Notes Enter Tab Number: 0 Display while participants are finding their seats. Course Leader: Welcome to the Project Leaders Course. Instructor introduction and give brief job experience. Have regional representative or co-instructors introduce themselves. Are all accommodations satisfactory, any difficulties with travel or issues to be resolved? If so, please see the course coordinator. Thanks for being here and working with us. USFWS – Wildlife and Sport Fish Restoration Program 0-1 Information Management Branch - National Training Project Leaders Course 2008
  2. 2. Welcome-Instructor Notes Housekeeping: Location of restrooms, break area, telephones. Announcements / messages are posted on message board located in break area. Please turn off or put your cell phones and pagers on silent. Course Material: • Everyone should have a course notebook. The notebook contains handouts that will be used in class. • Every two people have a laptop that will be used to look up information in the Toolkit. • We’ll be working in pairs and groups on exercises throughout the course. • Parking Lot – You may ask questions anytime during the course. If we cannot immediately answer the question we will write it down and post it on the question parking lot. The question may be answered later in the course or if it isn’t we’ll get an answer as soon as possible. • Everyone should have completed pre-course work, online courses and expectations survey. • Evaluation Form –Tell participants at the end of the course there will be evaluation forms and we would like their feedback. Explain that these are important tools for improving future courses. USFWS – Wildlife and Sport Fish Restoration Program 0-2 Information Management Branch - National Training Project Leaders Course 2008
  3. 3. Welcome-Instructor Notes Ask participants to stand and give the following information: Name, Agency position, years of service and grant program. Please open your notebook to Tab 1 and we’ll review the Agenda: • Start & stop times. • Flexibility of break and lunch schedules. • The course follows the grant management process. We have scheduled breaks, but the schedule is flexible. Let us know if you need a break. USFWS – Wildlife and Sport Fish Restoration Program 0-3 Information Management Branch - National Training Project Leaders Course 2008
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  5. 5. Table of Contents Agenda 1 Goals and Objectives 2 Grant Management Process 3 Compliance 4 Pre-Award: Project Statement Development and Review 5 Pre-Award: The Grant Application Package 6 Award: Notice of Award 7 Post Award: Implementation, Managing & Monitoring 8 Grant Closure 9 Post Closure: Ongoing Responsibilities 10 Handouts 12 USFWS – Wildlife and Sport Fish Restoration Program Information Management Branch - National Training Project Leaders Course 2008
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  7. 7. Agenda Project Leaders Course Wildlife and Sport Fish Restoration Program Information Management Branch - National Training State Department of Wildlife and Fisheries Month # - #, 2008 Day, Month # MORNING SESSION 8:00 a.m. Welcome/Introductions/Getting Acquainted – Unit 1 Grant Management Process – Unit 2 Compliance Issues – Unit 3 LUNCH AFTERNOON SESSION Pre- Award: Project Statement Development and Review – Unit 4 Pre- Award: The Grant Application Package – Unit 5 Wrap-Up 4:30 p.m. Adjourn Day, Month # MORNING SESSION 8:00 a.m. Review Day 1/Preveiw Day 2 Award: Notice of Award – Unit 6 Post Award: Grant Implementation, Reporting – Unit 7 Grant Closure – Unit 8 LUNCH USFWS – Wildlife and Sport Fish Restoration Program Information Management Branch - National Training Project Leaders Course
  8. 8. Agenda AFTERNOON SESSION Grant Closure (Cont.) – Unit 8 Post-Closure – Unit 9 Parking Lot / Discussion Wrap-Up/Post Course Survey 4:30 p.m. Adjourn USFWS – Wildlife and Sport Fish Restoration Program Information Management Branch - National Training Project Leaders Course
  9. 9. Goals and Objectives Revised 03/03/2008 Filename: s:federalaidcoursescourse_modules02-08courseinfoobjectivesplc- ojectives.doc Enter Name of Course: Project Leaders Course 2008 Enter Tab Number: 2 The purpose of training program is to provide a national training program to develop basic and specialized grants management knowledge and skills resulting in the consistent and sensible application of regulations, processes, and decisions in the grant programs administered by WSFR. As part of this course you were required to complete two online courses. These courses are always available on the website and can be used as a resource. The courses are updated as changes occur in the grant programs. Mention other courses/resources from National Training Program? USFWS – Wildlife and Sport Fish Restoration Program 2 - 0.0 Information Management Branch - National Training Project Leaders Course 2008
  10. 10. Goals and Objectives Instructor Notes Revised 3/6/08 The purpose of this course is to: Increase your “effectiveness” = increase knowledge, improve understanding, give you tools to help you find answers to your grant management questions. This course was cooperatively created through a planning process with National Training program, your agency, the Regional Office and with you through the pre-course expectations survey. Review course objectives. Reference pre- course survey and cover additional objectives. Be sure that everyone understands and agrees to the objectives for the course. Are there are any questions on the objectives or what will be covered in the course? Some objectives were covered in online courses. We’ll continue to build on these in the course. Mention acronyms and glossary in the Toolkit: General Guidance > WSFR Program Glossary USFWS – Wildlife and Sport Fish Restoration Program 2-1 Information Management Branch - National Training Project Leaders Course 2008
  11. 11. Goals and Objectives Goals and Objectives Welcome to USFWS – Wildlife and Sport Fish Restoration Program’s (WSFR) National Training. The goal of the National Training Program is to: Provide a systematic and ongoing national training program to develop basic and specialized grants management knowledge and skills that result in the consistent and sensible application of regulations, processes, and decisions in the grant programs administered by WSFR. The purpose of the Project Leaders Course is to increase the effectiveness of project leaders in developing and managing projects funded through the grant programs. Course Objectives Increase Project Leaders knowledge, skills, and/or abilities in: 1. Compliance requirements, especially NEPA and Section 7; 2. Writing project statements (narratives); 3. Writing/submitting performance reports; 4. Communicating, and coordinating with individuals/agencies involved with WSFR grant programs; 5. General and specific grant program guidance; 6. Grant cost accounting processes. USFWS – Wildlife and Sport Fish Restoration Program 2-1 Information Management Branch - National Training Project Leaders Course 2008
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  13. 13. Introduction to the Grants Management Process Revised 03/03/2008 Filename: s:federalaidcoursescourse_modules02- 08grantmgprocessgrantsmgtprocess.doc Enter Name of Course: Project Leaders Course 2008 Enter Tab Number: 3 Time: Handouts: none USFWS – Wildlife and Sport Fish Restoration Program 3 - 0.0 Information Management Branch - National Training Project Leaders Course 2008
  14. 14. Introduction to the Grants Management Process Instructor Notes Revised 3/6/08 Review topic objectives. Whether a grant program is a permanent/indefinite appropriation or an annual appropriation, apportioned by formula or competitive, the State makes the decision to participate in the program. The State is notified of available funding either by letter, via WSFR PROGRAM website or an announcement on grants.gov. Once the State decides to participate in a grant program they must complete a grant application package that complies with the program requirements. In our Advanced Course we go into more on how this funding is made available to the States/Territories and managing the program funds. USFWS – Wildlife and Sport Fish Restoration Program 3-1 Information Management Branch - National Training Project Leaders Course 2008
  15. 15. Introduction to the Grants Management Process Introduction to the Grants Management Process Objectives: 1. Become familiar with the grants management process. 2. Understand the cooperation, communication, and coordination required to support the grantee/Federal grant management system(s). 3. Describe the roles and responsibilities of grantee staff in the management of WSFR Program grants. 4. Describe the roles and responsibilities of federal staff in the management of WSFR Program grants. USFWS – Wildlife and Sport Fish Restoration Program 3-1 Information Management Branch - National Training Project Leaders Course 2008
  16. 16. Introduction to the Grants Management Process Instructor Notes Revised 3/6/08 The first phase of the grants management process is the Pre-Award phase. The State or Grantee probably does some planning or research to find the grant funding or somehow determines there is a need that must be met or can be met with grant funds. Pre-Award: During this phase the grantee develops and submits the application package, may need to address ranking criteria if it is a competitive program, address compliance concerns such as eligibility matching requirements and other compliance issues. The RO reviews, coordinates/communicates with grantee, approves grant. Competitive grants are approved based on ranking and selection process. Award: Once decision is made to approve the grant is awarded. An award letter is sent to the grantee including the amount, terms and conditions, and any special conditions. Funds may also be obligated to the grant if available (depending on grant program). Post-Award: After awarded, work begins, payments requested/received, manage, monitor, modify grant (as needed), reporting, and compliance concerns. Close-Out: final reporting (performance and financial, work completed, grant closes, compliance concerns Notice that compliance happens during all phases of process (discuss in next unit). Compliance may be related to grant program or specific grant award (eligibility such as assent legislation, civil rights, etc.). Compliance responsibilities continue even after close out of a grant. These include compliance, ongoing monitoring and accountability. Could include monitoring land use, transfer of property, equipment, etc. USFWS – Wildlife and Sport Fish Restoration Program 3-2 Information Management Branch - National Training Project Leaders Course 2008
  17. 17. Introduction to the Grants Management Process Grants Management Process The grants management process follows the life cycle of a grant award. Various activities are performed during each phase of the process to collect, evaluate and document information to enable your agency to receive federal funds. Consider your roles and responsibilities in the context of the processes involved in applying for and managing WSFR Program grants throughout the life cycle of the grant. In addition consider the people that you will interact and communicate with to effectively manage WSFR Program grants. Notes: USFWS – Wildlife and Sport Fish Restoration Program 3-2 Information Management Branch - National Training Project Leaders Course 2008
  18. 18. Introduction to the Grants Management Process Instructor Notes Revised 3/6/08 On page X-3 let’s take about 10 minutes to perform the activity on identifying roles and responsibilities in the grants management process. You may work individually or with a partner to complete the table. Using the toolkit look up the references: Section 9 of the Wildlife Restoration Act 50 CFR 80 522 FW 2 Read or skim each reference looking for specific or implied roles and responsibilities for managing grants. The tasks are listed for you in the table. From the references given determine if the Feds or Grantee (State) is responsible and what position in your organization or Federal office is specifically responsible. Debrief exercise discussing answers displayed in the instructor manual. Point out on the first task that understanding the grant programs is important to proposing a project that is eligible for funding under a grant program. This was part of the key elements in the E-Learning course on grant programs. Where do these tasks fit into the Grants Management Process? Any additional tasks to add from participants? Who in their agency (give name) performs these tasks? If they don’t know they need to find out when they return to their office. As we work through the grants management process think about where your role fits into the process and the people you might need to communicate with. USFWS – Wildlife and Sport Fish Restoration Program 3-3 Information Management Branch - National Training Project Leaders Course 2008
  19. 19. Introduction to the Grants Management Process Identifying Grants Management Roles and Responsibilities Work individually or with a partner. Using the Toolkit, lookup and read Section 9 of the Wildlife Restoration Act, 50 CFR 80 and 522 FW 2. Look for references to specific or implied roles and responsibilities for managing grants. Exercise: Grant Management Roles and Responsibilities Federal or Task Who’s Involved? Grantee? Identify and propose projects Grantee Agency Leadership, WSFR eligible for grant funding Coordinator and Project Leaders and Field Staff Ensure eligibility of Grantee Federal WSFR grant reviewer, FA Regional Chief Review and Approve Grant Federal WSFR Program grant reviewer Proposal and FA Chief Ensure compliance with Grantee WSFR Program grant reviewer, Federal laws and regulations and Regional WSFR Chief, WSFR Federal Coordinator, Agency Leadership, Project Leaders, ES Biologist, Request reimbursement for Grantee Agency Fiscal Staff grant expenditures Write and submit performance Grantee WSFR Coordinator – Project report(s) Leader Monitor sub-grantee Grantee WSFR Coordinator – Project compliance Leader – Agency Fiscal Staff Accomplish the objectives of Grantee WSFR Coordinator – Project the project Leader – Agency Fiscal Staff Conduct audits for compliance Federal DOI OIG (Contracted Auditor) with program guidance Grantee Agency Independent Auditor, State Single Auditor, EEO Ongoing monitoring of land use Grantee Agency Leadership, WSFR issues Coordinator, Agency Fiscal Staff, Agency Real Estate Staff Review policies and make Both JTF – list of members on WSFR recommendations for website clarifications to USFWS Director USFWS – Wildlife and Sport Fish Restoration Program 3-3 Information Management Branch - National Training Project Leaders Course 2008
  20. 20. Introduction to the Grants Management Process Instructor Notes Revised 3/6/08 WSFR website provides list of JTF members http://wsfrprograms.fws.gov/Subpages/ Policy/JTF_members.htm Many people are involved on each side. As we work through the course we will take a look at the people involved in each part of the grants management process. We will also discuss the value of communication with everyone involved. USFWS – Wildlife and Sport Fish Restoration Program 3-4 Information Management Branch - National Training Project Leaders Course 2008
  21. 21. Introduction to the Grants Management Process Learning Points The Grants Management Process is a logically organized set of procedures to collect, evaluate, and document specific information to enable the flow of Federal grant funds to your agency. The primary role/responsibility of the Grantee is to initiate and implement the grant. The Federal role is to review and approve grants and to provide oversight of the program. Many people, Federal and State, are involved in the grants management process. Coordinators, project leaders and financial staff within the grantee organization have roles and responsibilities in the grants management process that require communication and cooperation to effectively and efficiently manage grants. Effective communication among the Federal and grantee staff involved in the grants management process is essential for success. USFWS – Wildlife and Sport Fish Restoration Program 3-4 Information Management Branch - National Training Project Leaders Course 2008
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  23. 23. An Overview of Compliance Issues Revised 03/03/2008 Filename: c:documents and settingsdunbehagenmy documentscourse_modules02-08compliancecompliance-overview.doc Enter Name of Course: Project Leaders Course 2008 Enter Tab Number: 4 Handouts: NEPA Process Section 7 Process USFWS – Wildlife and Sport Fish Restoration Program 4 - 0.0 Information Management Branch - National Training Project Leaders Course 2008
  24. 24. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 Discuss the objectives. In this module we’ll begin with the phases of the grants management process and follow that for the remainder of the course. We’ll start with taking a look at the compliance issues that exist in the rules and regulations, and the various levels of compliance and specific issues affecting grant programs administered by WSFR Program. As you see from the graphic, compliance occurs throughout the process and some of the compliance requirements continue even after the grant is over. Some of the compliance requirements have specific documentation processes such as forms, certifications, etc., and some may need to be completed prior to applying for a grant or at the time of application. In other cases grantees agree to comply with the requirements. The compliance requirements may be reviewed during site visits, program reviews or audits. As we discuss the compliance requirements think about when you would need to address it in the process, the documentation and the people you need to communicate or coordinate with to meet the requirements. USFWS – Wildlife and Sport Fish Restoration Program 4-1 Information Management Branch - National Training Project Leaders Course 2008
  25. 25. An Overview of Compliance Issues An Overview of Compliance Issues Objectives: 1. Describe the different levels of legal responsibilities associated with the grant programs administered by Wildlife and Sport Fish Restoration Program. 2. Determine federal compliance issues that exist in addition to general grant administrative requirements and the enabling legislation. 3. Identify and discuss specific documentation requirements that exist for several compliance requirements. 4. Explain the purposes and general requirements of the Statement of Assurances. 5. Discuss the compliance requirements for various program and project types. USFWS – Wildlife and Sport Fish Restoration Program 4-1 Information Management Branch - National Training Project Leaders Course 2008
  26. 26. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 Grant programs are enabled by Congress through authorizing legislation or Acts. In its enabling legislation each grant program has specific compliance and eligibility requirements. Recall from your pre-course work on WSFR Program grants the many compliance and eligibility requirements (considered key elements). Also, you may review the grant program worksheets. Compliance begins with the authorizing legislation and is found throughout the grants management process in complying with federal rules and regulations. Who are the eligible grantees? States and Territories. Tribal grants are administered by External Affairs with help from WSFR. This compliance determination occurs prior to the Pre- Award phase before an applicant can apply for the grant program. Recall some of the other requirements and mandates of programs administered by WSFR Program. These were reviewed in the key elements. These are probably ongoing monitoring issues throughout the GMP. SFR – FW/Marine split, assent legislation, aquatic education, boating access. WR – Hunter Ed Sec 4/10, assent legislation. SWG – Plan USFWS – Wildlife and Sport Fish Restoration Program 4-2 Information Management Branch - National Training Project Leaders Course 2008
  27. 27. An Overview of Compliance Issues Act Specific Compliance Requirements Each grant program has specific compliance and eligibility requirements in its enabling legislation. As part of your pre-course work you completed the Review of Wildlife and Sport Fish Restoration Program grants online module, which highlighted many of the compliance and eligibility requirements. • Purpose of the Grant Program • Eligible Grantees • Eligible / Ineligible Projects and Activities • Spending Mandates, Matching Requirements, Funding Limitations • Special Conditions • Governing Guidance (CFR, Rules, etc.) Notes: USFWS – Wildlife and Sport Fish Restoration Program 4-2 Information Management Branch - National Training Project Leaders Course 2008
  28. 28. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 In addition to enabling legislation all WSFR grant programs must comply with 43 CFR Part 12 – Admin, Audit & Cost Principles. And each grant program has a specific CFR that governs that program. If the program is new it may not have a CFR but instead will have final guidance published in the Federal Register until a CFR is written. While the Acts are the big picture, CFRs get more specific. The CFRs may reference other federal requirements, CFRs and/or OMB circulars. Assign participants to groups and assign each group a CFR or Final Program Guidance to review. Have participants describe their observations about the scope of the guidance contained in the regulation. Ask groups to share their observations point out some common compliance requirements. Follow up by asking if some of the same requirements found in the Acts were also found in the CFR/Program Guidance. Point out that the CFR/Policy Guidance is written from the Acts, same compliance requirements may be found in several places. Participants may see assurances requirement in all guidance, 80.21, 81.9, 84.50, 85.48, 86.55 USFWS – Wildlife and Sport Fish Restoration Program 4-3 Information Management Branch - National Training Project Leaders Course 2008
  29. 29. An Overview of Compliance Issues Governing Regulations and Administrative Regulations All grants administered by Wildlife and Sport Fish Restoration Program are governed by 43 CFR Part 12 Subpart C referred to as the Common Rule. This contains all of the Department of Interior Administrative, Audit and Cost Principle requirements for financial assistance programs. 43 CFR Part 12 incorporates OMB Circulars as well as guidance such as manuals issued by the agency administering the financial assistance program. In addition most grant programs are governed by federal regulations in the form of the Code of Federal Regulations (CFR) and/or Federal Acquisition Regulation (FAR). If a program is new it may not have a CFR but instead have final guidance published in the Federal Register. Using the Toolkit review the Federal Regulations (CFR/FAR or Final Program Guidance) assigned to your group. Review the section titles and list the type of compliance related guidance contained in the regulation. 1. 43 CFR 12 Subpart C Financial & administrative, application forms, allowable costs, matching funds program income, audits. Pertains to all programs administered by WSFR. 2. 50 CFR 80 WR & SFR Programs. Administrative requirements, matching, mandates, license certification requirements, responsibilities, reporting. 3. 50 CFR 81 Endangered Species – Sec 6. ESA, federal laws & assurances, coop agreements with States 4. 50 CFR 84 National Coastal Wetlands. Eligibility, conditions, reporting USFWS – Wildlife and Sport Fish Restoration Program 4-3 Information Management Branch - National Training Project Leaders Course 2008
  30. 30. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 USFWS – Wildlife and Sport Fish Restoration Program 4-4 Information Management Branch - National Training Project Leaders Course 2008
  31. 31. An Overview of Compliance Issues Governing Regulations and Administrative Regulations (continued) 5. 50 CFR 85 CVA. Requirements for participation, record keeping, reporting, application, cost share, allowable costs, fees collected. 6. 50 CFR 86 BIG. Ranking criteria, facilities, assurance statement. 7. LIP Guidance 25% matching, Sec 7/NEPA, land, floodplain. 8. SWG Guidance Comply with 43 CFR 12, OMB A-87, A-133, A-102, NEPA, Sec 7, Plan by 10/1/05. USFWS – Wildlife and Sport Fish Restoration Program 4-4 Information Management Branch - National Training Project Leaders Course 2008
  32. 32. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 In the guidance we just reviewed one of the compliance items referenced was the Statement of Assurances. The Statement of Assurances is submitted as part of the grant application package. It’s a standard form that is required, SF 424 B or SF 424 D, construction & non- construction. Most ROs allow one statement of assurances to be submitted annually for all SFR/WR/SWG grant programs. See 522 FW 1.3 B. Competitive grants may need to submit the assurances with each grant since those grants are usually nationally competitive. Check with RO. What is a statement of assurances? It is a legal contract obligating your agency to abide by all applicable federal rules. If applying electronically the statement of assurances will be submitted electronically and signed electronically. Let’s take a look at the requirements on the statement of assurances. Assign table groups to summarize one of the following assurances: 1, 2, 3, 4, 6, 8, 11, 13. You will notice that some of these assurances were also listed in the Act/Program Guidance and will also be listed in the Service Manual Chapters. Compliance requirements may be repeated or overlap in several different places. Assurance #7 (424B) refers Uniform Relocation same as Admin requirement in 523 FW 1. Assurance #8 (424B) Hatch Act is related to Lobbying restrictions in 43 CFR 18. Assurance #18 (424B) covers any other federal requirements. What happens if grantee does not comply? Funding would cease, expenditures would not be reimbursed, future grant funding at risk, audit findings. What triggers compliance? Accepting the federal funds. USFWS – Wildlife and Sport Fish Restoration Program 4-5 Information Management Branch - National Training Project Leaders Course 2008
  33. 33. An Overview of Compliance Issues Exercise: Statement of Assurances Work as a group to review the Statement of Assurances. Use the Statement of Assurances forms found in the Toolkit (SF424B, SF424D). 1. Read the assurance that is assigned to your group and be prepared to give a one sentence summary. OMB Circular A-102 (c) (3) requires use of SF 424 D (Construction) for land acquisition grants. 2. What happens if the grantee does not comply with the laws or regulations listed on the Statement of Assurances? Funding would cease, expenditures would not be reimbursed, future Grant funding will be at risk, audit findings. Statement of Assurances 50 CFR 80.21 Sport Fish and Wildlife Restoration 50 CFR 81.9 Endangered Species 50 CFR 84.50 Coastal Wetlands 50 CFR 85.48 Clean Vessel Act 50 CFR 86.55 Boating Infrastructure Grant Program Administrative Requirements Federal Aid in Fish and 522 FW 1.3 B Federal Aid in Wildlife Restoration (annual submission of one for all SFR/WR grants) USFWS – Wildlife and Sport Fish Restoration Program 4-5 Information Management Branch - National Training Project Leaders Course 2008
  34. 34. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 We mentioned the Hatch Act and Lobbying when we went over the Assurances #8. Federal funds cannot be used to lobby. However, State funds may be used to lobby for a particular grant. If the State does lobby for a particular grant then the State must disclose this information by using a Standard Form (SF) LLL. This must be submitted with the grant application. Until recently there was a certification form that had to be completed for lobbying, debarment/suspension (523 FW 1.2 D and 43 CFR 12.100-12.510) and Drug-Free Workplace (523 FW 1.2 D and 43 CFR 12.600-12.635). The form was DI-2010. It is no longer required. USFWS – Wildlife and Sport Fish Restoration Program 4-6 Information Management Branch - National Training Project Leaders Course 2008
  35. 35. An Overview of Compliance Issues Disclosure of Lobbying Activities Federal funds cannot be used by the grantee or paid by the grantee to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. Funds other than Federal funds may be used for lobbying. However, if any funds other than Federal funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the Federal contract, grant, loan, or cooperative agreement (currently being submitted), the grantee must complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Notes: USFWS – Wildlife and Sport Fish Restoration Program 4-6 Information Management Branch - National Training Project Leaders Course 2008
  36. 36. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 Now we’ve looked at compliance in the Acts/Enabling Legislation, the CFR (Common Rule) and the CFR for the specific grant programs, the Statement of Assurances and the Lobbying disclosure forms that must be submitted with the grant application package. The next guidance we’ll be discussing is in the FW Service Manual Chapters. Part 523 FW 1, Compliance Requirements and Part 522 Chapters 3 through 15. These chapters apply to all FA grant programs. Have participants review 523 FW 1 Compliance Summary for overview of compliance requirements by category. Debrief using slides showing 4 categories and items within each category. Non-discrimination Environmental Historic & Cultural preservation Administrative Chapter 1 of Part 523 contains a summary of compliance. This does not include all compliance requirements. You can see that some of these items were also listed on the statement of Assurances. Would all of these Acts and Executive Orders apply to all types of projects? It depends on the specific type of work being performed or the type of project. However, you must consider all of them when applying for and managing your grant. Also, think about when you might need to consider them in the Grants Management Process. It could be at the time of application, or if you make a change to work being performed and should be monitored throughout the grant. Depending on the type of grant/project you’re working on it might require more documentation for some of the Acts/Orders we just reviewed. What about NEPA, Section 7, SHPO? What types of projects might be impacted by those Acts? Construction? We’ll talk more about NEPA and Section 7 processes and documentation in a few minutes. USFWS – Wildlife and Sport Fish Restoration Program 4-7 Information Management Branch - National Training Project Leaders Course 2008
  37. 37. An Overview of Compliance Issues Compliance Requirements Summary Using the Toolkit review Service Manual Chapter 523 FW 1 Compliance Summary. Summarize the requirements by listing the four broad categories of compliance requirements shown in 523 FW 1.2. 1. Non-discrimination 2. Environmental – depending on work performed may require additional consideration and documentation in grant application package. NEPA/Section 7 documented in Project Statement. 3. Historic & Cultural Preservation - depending on work performed may require additional consideration and documentation in grant application package. Documented in Project Statement or letter. 4. Administrative – may require documentation such as program income disposition, matching funds. USFWS – Wildlife and Sport Fish Restoration Program 4-7 Information Management Branch - National Training Project Leaders Course 2008
  38. 38. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 The work being performed in the grant or the project type may have specific project dependent compliance that must be considered and documented in the grant application package or other phases of the grants management process. The FW Service Manual Part 522 includes a chapter for each project type. Split into groups, have each group review a chapter and provide info or do as class discussion exercise. Discussion Points: Permits - attachments ADA Cultural Resources NEPA/Section 7 NEPA and Section 7 must be documented in the Project Statement in enough detail for the grant reviewer to make determinations and complete documentation. (More on NEPA/Section 7 – if included in PLC). USFWS – Wildlife and Sport Fish Restoration Program 4-8 Information Management Branch - National Training Project Leaders Course 2008
  39. 39. An Overview of Compliance Issues Program and Project Dependant Compliance (522 FW 1.4 and 1.7) Using the Toolkit review Service Manual Chapters in Part 522 Federal Aid Program Guidance and list the compliance requirements that should be considered for the project types or grant work being performed. Cite the references used and the phase of the grants management process the compliance should be addressed. 1. Grant to purchase land. Chapter 6.7 A, B, C 2. Grant for construction of facilities. Chapter 10 Uniform Relocation Assistance & Real Property Acquisition Policies Act of 1970, National Historic Preservation Act of 1966, Section 504 Rehabilitation Act of 1973, NEPA, SHPO ADA, Coastal Zone, ES, Coastal Barriers. 3. Research grant. Chapter 11 4. Coordination grant. Chapter 3 Animal Welfare Act of 1985 (does not include fish), Endangered Species Act, NEPA 5. Hunter Education grant. Chapter 13 Civil Rights USFWS – Wildlife and Sport Fish Restoration Program 4-8 Information Management Branch - National Training Project Leaders Course 2008
  40. 40. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 While all compliance requirements must be met, you can see that some require specific documentation that are either submitted with the grant application or kept with the grant records. Proof of compliance may be required during audits. A grant application cannot be approved without the compliance issues being addressed and documented. We will continue to discuss compliance requirements throughout the grants management process. USFWS – Wildlife and Sport Fish Restoration Program 4-9 Information Management Branch - National Training Project Leaders Course 2008
  41. 41. An Overview of Compliance Issues Compliance Documentation As a consequence of accepting Federal funds, States and other grantees must comply with all applicable Federal laws, regulations and policies. Compliance with some requirements must be documented with specific supporting documents and/or using specific processes. These documentation requirements will vary by program and/or project type. Other requirements are part of all phases within the grants management process. Check the Service Manual and other guidance documents for specific requirements. Notes: Information for projects allocated between programs, Boating Access, Hunter Education, Aquatic Education along with matching. Coastal States should provide an allocation of costs for projects having both marine and freshwater fisheries benefits. Split is based on # of anglers either from National Survey or a State’s own survey, see 50 CFR 80.23. Assurances, permits, appraisals, NEPA, Endangered Species, State process documents. This may be called “Other Supporting Documents.” USFWS – Wildlife and Sport Fish Restoration Program 4-9 Information Management Branch - National Training Project Leaders Course 2008
  42. 42. An Overview of Compliance Issues Instructor Notes Revised 3/6/08 Review learning points. More about NEPA/Section 7 or go to Pre- Award. Now that we have an idea of the compliance requirements that exist during the grant process, in the next module we’ll begin Pre- Award, actually looking at the documents and considerations when applying for a grant. USFWS – Wildlife and Sport Fish Restoration Program 4 - 10 Information Management Branch - National Training Project Leaders Course 2008
  43. 43. An Overview of Compliance Issues Learning Points Compliance requirements are found in the enabling legislation, governing program guidance, administrative requirements and the Service Manual Chapters. Compliance requirements must be addressed to receive funding for a grant. Compliance requirements include administrative, environmental, historical and cultural and non-discrimination. The Statement of Assurances ensures the reviewer the grantee is aware of the need for compliance with the laws and regulations listed on the assurance form. A signed Statement of Assurances form is a legal contract obligating the grantee to abide by all applicable federal rules. Compliance requirements will vary depending upon the grant program and project type. Information must be included in project statement for WSFR staff to make compliance determinations for NEPA and Section 7 as well as any other compliance requirements. USFWS – Wildlife and Sport Fish Restoration Program 4 - 10 Information Management Branch - National Training Project Leaders Course 2008
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  45. 45. National Environmental Policy Act Revised 03/03/2008 Filename: c:documents and settingsdunbehagenmy documentscourse_modules02-08compliancenepa.doc Enter Name of Course: Project Leaders Course 2008 Enter Tab Number: 4a Handouts: NEPA Process & Documentation chart USFWS – Wildlife and Sport Fish Restoration Program 4a - 0.0 Information Management Branch – National Training Project Leaders Course 2008
  46. 46. National Environmental Policy Act Instructor Notes Revised 3/6/08 USFWS – Wildlife and Sport Fish Restoration Program 4a - 1 Information Management Branch - National Training Project Leaders Course 2008
  47. 47. National Environmental Policy Act National Environmental Policy Act Objectives: 1. Understand the NEPA documentation process. 2. Identify the issues that prevent using categorical exclusions. 3. Explain the steps involved in preparing an environmental assessment. USFWS – Wildlife and Sport Fish Restoration Program 4a - 1 Information Management Branch – National Training Project Leaders Course 2008
  48. 48. National Environmental Policy Act Instructor Notes Revised 3/6/08 NEPA, as part of the compliance process, is a safeguard for reviewing proposed Federal Actions and assessing the impact they will have on the human environment. Since approving a grant is a federal action, activities, jobs, etc. that are funded with Federal grant dollars must undergo NEPA scrutiny and documentation. WSFR is responsible for preparing the administrative record for complying with NEPA or requiring the preparation of additional environmental documents (EA or EIS) if needed. The NEPA Process & Documentation chart represents this decision making process. See handout. The State plays a key role in the NEPA process by providing adequate information and documentation for WSFR to make a decision and document NEPA compliance. No federal funds can be used on a project until a NEPA decision is made & documented. WSFR will use the information provided by the State in the project statement (part of application package) to gather information to review and evaluate the proposed work, the scope of the project, the impact on the human environment and any public controversy or interest that may be generated. Based on this review and evaluation a decision is made whether to Categorically Exclude the project or initiate further environmental reviews and decisions. Actions that can be categorically excluded fit within the Cat Ex lists if no extraordinary circumstances are triggered. Categorical exclusions are classes of actions which do not individually or cumulatively have a significant effect on the human environment. If a Categorical Exclusion is made WSFR will document it with the NEPA Compliance Checklist as the administrative record and the grant will be approved. USFWS – Wildlife and Sport Fish Restoration Program 4a - 2 Information Management Branch - National Training Project Leaders Course 2008
  49. 49. National Environmental Policy Act Complying with the National Environmental Policy Act (NEPA) The purpose of the NEPA process is to consider detailed information concerning every significant environmental impact on the human environment, which is defined as the natural and physical environment and the relationship of people to the environment. Additionally, the process ensures the public plays a role in both the decision-making process and the implementation of that decision. Compliance with the NEPA process is relatively simple and unimposing for the majority of work proposed under grant programs administered by WSFR. However, the process does require that a specific set of logical steps be followed and documented to support conclusions about effects grant work will have on the human environment. The general flow for documenting the NEPA decision is depicted on the NEPA Process & Documentation chart in your workbook. Working through the NEPA decision making process requires evaluating several factors before implementing federally funded work projects. NEPA Factors: • Project Scope • Potential for Significant Impact on the Human Environment • Public Interest and/or Controversy Generated The effect of these factors determines which of the three documentation processes must be followed in complying with NEPA requirements. Adequate information must be provided in the project statement (approach) for the WSFR Regional Office to make a determination. NEPA Compliance Service NEPA Guidance to States Participating in The Federal Aid Handbook Program Director’s Director’s Order 127, National Environmental Policy Act Orders Compliance Checklist General NEPA Reference Handbook (USFWS) Guidance USFWS – Wildlife and Sport Fish Restoration Program 4a - 2 Information Management Branch – National Training Project Leaders Course 2008
  50. 50. National Environmental Policy Act Instructor Notes Revised 3/6/08 Take a look at the guidance used in making a Cat X and review the sections. This will give you an idea of the type of information WSFR needs in the project statement to make a Cat X determination. DOI 516 DM 6 was replaced with 516 DM 8.5. USFWS – Wildlife and Sport Fish Restoration Program 4a - 3 Information Management Branch - National Training Project Leaders Course 2008
  51. 51. National Environmental Policy Act Reviewing Categorical Exclusions Using the Toolkit review Director’s Orders – Rules – Policy – Interim Guidance>Final Rule>Categorical Exclusions, and answer the questions below. 1. Which section of the final rule contains the list of categorical exclusions? 1.4 2. Review each of the following sections, and list several categorical exclusions for each. General Amendments, educational activities, not involving new construction or major additions to existing facilities, purchase of real property, procedures. Resource Management Research, inventory, info collection, O&M, some construction to existing facilities, prescribed burns, fire mgmt, stocking, minor changes Permit and Regulatory Functions Permits endangered & threatened species, ESA permits, special regs, limited additional right of way use, Recovery Plans Issuance of recovery plans Financial Assistance Grants & cooperative agreements for planning or categorically excluded in previous sections. USFWS – Wildlife and Sport Fish Restoration Program 4a - 3 Information Management Branch – National Training Project Leaders Course 2008
  52. 52. National Environmental Policy Act Instructor Notes Revised 3/6/08 If the project involves new construction and/or other specific disruptions in the environment, it may require additional documentation prior to making a NEPA decision. The steps for continuing the process may require that an Environmental Assessment be conducted. An EA may take 3 to 6 months to prepare, then has to be reviewed/commented on by public. See handout. Depending on outcome an EIS may be required. This is a lengthy process that may take years and many staff hours. Remember that unlike ES (will discuss next) only Federal Actions are covered by NEPA. If you have to take this to the next step of EIS you may want to consider 100% State funding for those projects if they’re going to involve an EIS. If you are applying for Federal financial assistance or making changes in scope of work to an existing grant, enough information needs to be provided in the project statement concerning the environmental effects as necessary to satisfy WSFR requirements to comply with NEPA. States may want to review the NEPA Checklist for the elements WSFR is evaluating – Checklist can be found as Appendix G to DO #127. Review the learning points. USFWS – Wildlife and Sport Fish Restoration Program 4a - 4 Information Management Branch - National Training Project Leaders Course 2008
  53. 53. National Environmental Policy Act Learning Points The NEPA process is assessing a project’s impact on the human environment. Federal funds can not be used on a project until a NEPA decision is made and documented. The three types of documentation processes are the NEPA checklist, Environmental Assessment, and Environmental Impact Statement. The scope, potential for significant impact on the human environment, and the public interest and/or controversy of a project will determine the documentation process. USFWS – Wildlife and Sport Fish Restoration Program 4a - 4 Information Management Branch – National Training Project Leaders Course 2008
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  55. 55. Section 7 of the Endangered Species Act Revised 03/03/08 Filename: c:documents and settingsdunbehagenmy documentscourse_modules02-08compliancesection7.doc Enter Name of Course: Project Leaders Course 2008 Enter Tab Number: 4b Handouts: Section 7 Compliance chart USFWS – Wildlife and Sport Fish Restoration Program 4b - 0.0 Information Management Branch – National Training Project Leaders Course 2008
  56. 56. Section 7 of the Endangered Species Act Instructor Notes Revised 3/6/08 The Endangered Species Act applies to everyone, regardless of funding. USFWS – Wildlife and Sport Fish Restoration Program 4b - 1 Information Management Branch – National Training Project Leaders Course 2008
  57. 57. Section 7 of the Endangered Species Act Section 7 of the Endangered Species Act Objectives: 1. Determine the information needed in the project statement to evaluate the impact on listed, proposed to be listed, candidate species and/or critical habitat. 2. Discuss the importance of this information in the Section 7 evaluation process. USFWS – Wildlife and Sport Fish Restoration Program 4b - 1 Information Management Branch – National Training Project Leaders Course 2008
  58. 58. Section 7 of the Endangered Species Act Instructor Notes Revised 3/6/08 As part of the NEPA process (number 8 in the checklist) more specific documentation is required about the endangered species aspect of any federal project or grant and if it will have a specific effect on an endangered species or its critical habitat. Section 7 of Endangered Species Act is to ensure that there are no endangered or threatened species present or if present that the project will not impact the species. WSFR must document based on information provided by the State. Mention that the ES Consultation Handbook is in the Toolkit. Information must be included in the project statement or grant cannot be approved. Adverse actions may require more thorough consultations with FWS ES personnel. Establishing this record of action is important to the continuity of the grant if it comes under legal review. Review handout – Section 7 Compliance Process. USFWS – Wildlife and Sport Fish Restoration Program 4b - 2 Information Management Branch – National Training Project Leaders Course 2008
  59. 59. Section 7 of the Endangered Species Act Reviewing Endangered Species Act Requirements Using the Toolkit, review Service Manual Chapters>Part 523 Compliance Requirements>Chapter 1 Summary. Click on the link Endangered Species Act of 1973 listed under Section B Environmental Requirements. What are the requirements regarding endangered species for WSFR projects? RD must ensure that WSFR Program projects are not likely to jeopardize the continued existence of endangered or threatened species or result in the destruction or adverse modification of critical habitat. For projects which may affect an endangered or threatened species, either beneficially or adversely, a formal Section 7 consultation is necessary. The State is required to name the listed species and/or critical habitat included, list the name, description, and location of the area, list the objectives of the action, and provide an explanation of the impacts of the actions listed on a Listed species or critical habitat. The Wildlife and Sport Fish Restoration Program Regional Offices work with regional endangered species staff and grantee coordinators to make determinations of impact and establish a record of action. The general decision making process is depicted by the Section 7 Compliance Process flow chart. Section 7 of Endangered Species Act Congressional Endangered Species Act Acts General Endangered Species Consultation Handbook Guidance FW 523 1.9 Fish and Wildlife Service Manual USFWS – Wildlife and Sport Fish Restoration Program 4b - 2 Information Management Branch – National Training Project Leaders Course 2008
  60. 60. Section 7 of the Endangered Species Act Instructor Notes Revised 3/6/08 Information must be included in the grant’s project statement concerning impact of actions or the grant cannot be approved. Adverse actions may require more thorough consultations with FWS ES personnel. This is information that should be included in the project statement by the State. USFWS – Wildlife and Sport Fish Restoration Program 4b - 3 Information Management Branch – National Training Project Leaders Course 2008
  61. 61. Section 7 of the Endangered Species Act Complying with Section 7 of the Endangered Species Act Complying with Section 7 of the Endangered Species Act requires evaluation of impacts of action(s) on listed, proposed to be listed, candidate species/critical habitat. Identify Action: “Action(s)” represent either project(s) or job(s), depending on the specificity needed to adequately document impacts to federally endangered and/or threatened species/critical habitat. If a grant is comprised of several “action(s)” (e.g., projects covering habitat management, population manipulations, resource assessments, outreach, land acquisition, research, and surveys), then each project represents a distinct “action” requiring a separate description and recommendation. If a grant is comprised of one project or job (e.g., herpetological atlas), only that one action requires a description and recommendation. Describe Action(s) and Location: Provide a concise but complete description of the action, and include location of work. For example, several sport fish species indigenous to waters of the State are spawned, hatched, reared, and stocked out to restore or sustain populations. Recommendation: For grants with several action(s), identify a unique recommendation for each action; e.g., identify projects/jobs with land acquisition as “No Species Present” or “No Effect”, non-destructive data collection as “No Effect”, and Section 6 as “Not Likely to Adversely Affect”. No Species Present: Self-explanatory, this is the correct recommendation when no federally listed or candidate species/critical habitat within the action area. Species Present: No Effect: List all federally listed species/critical habitat in the action area, and explain why action(s) has No Effect. Is Not Likely to Adversely Affect: List all federally listed species/critical habitat in the action area, and explain rationale for recommendation by including the following information: (I) species status such as population trends or distribution in the action area, (ii)habitat status such as whether its critical or non-critical, species use it for breeding, migrating, or foraging, (iii) how will the action impact species/habitat (consider direct, indirect, interdependent, interrelated, and cumulative impacts). USFWS – Wildlife and Sport Fish Restoration Program 4b - 3 Information Management Branch – National Training Project Leaders Course 2008
  62. 62. Section 7 of the Endangered Species Act Instructor Notes Revised 3/6/08 Review learning points. USFWS – Wildlife and Sport Fish Restoration Program 4b - 4 Information Management Branch – National Training Project Leaders Course 2008
  63. 63. Section 7 of the Endangered Species Act Learning Points The NEPA process requires documenting the effect a project has on endangered species. The Section 7 process supports the NEPA decision. Establishing a record of action is important to the continuity of the grant if it comes under legal review. USFWS – Wildlife and Sport Fish Restoration Program 4b - 4 Information Management Branch – National Training Project Leaders Course 2008
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  65. 65. Pre-Award: Developing and Reviewing the Project Statement Revised 03/03/08 Filename: s:federalaidcoursesiltplc2007revised plcworkbook5_projectstatement_detail.doc Enter Name of Course: Project Leaders Course 2008 Enter Tab Number: 5 Handouts: Example project statements USFWS – Wildlife and Sport Fish Restoration Program 5 - 0.0 Information Management Branch - National Training Project Leaders Course 2008
  66. 66. Pre-Award: Developing and Reviewing the Project Statement Instructor Notes Revised 3/6/08 Review objectives for topic. As you can see there are many issues that need to be considered when applying for a federal grant. Part of being successful in managing your grant is covering these issues up front and having checks and balances in place throughout the grant award. This begins in the pre-award phase when the applicant begins gathering the information and completing the documentation required in the grant application package that will be submitted to the RO. In this module we’ll start looking at the project statement, one of the documents required in the grant application package. The project statement is probably the most important document in the package. It may also be called the project narrative. USFWS – Wildlife and Sport Fish Restoration Program 5-1 Information Management Branch – National Training Project Leaders Course 2008
  67. 67. Pre-Award: Developing and Reviewing the Project Statement Pre-Award: Developing and Reviewing the Project Statement Objectives: 1. Identify and explain the components of the project statement/narrative. 2. Determine if the proposal is substantial in character and design. 3. Determine if the project statement/ narrative meets minimum requirements. 4. Determine if enough information is included in project statement to satisfy NEPA and Section 7 compliance requirements. USFWS – Wildlife and Sport Fish Restoration Program 5-1 Information Management Branch - National Training Project Leaders Course 2008
  68. 68. Pre-Award: Developing and Reviewing the Project Statement Instructor Notes Revised 3/6/08 The project statement or narrative identifies the need and describes the work to be accomplished. There’s not a standard format; however there are required elements described in the federal regulations. If submitting electronically this will be submitted as an attachment. Cover the elements of the project statement: Need – Why? Evidence? How was it determined? Lays ground work for everything else. Objective – What will be accomplished by addressing Need? Don’t confuse with approach of how. Expected Results – Benefits to public Approach – How is this going to be accomplished? Location of work – Where? Estimated Cost - $$ Budget If it is a competitive grant there may be other criteria you wish to address in the project statement or narrative. You should review the guidance for the grant program you are applying for. Keep in mind, Project Statements should be clear and concise! You don’t want to throw everything into the project statement. More is not necessarily better, only if it is pertinent to the project. Now, let’s take a look at each element of a project statement in detail. USFWS – Wildlife and Sport Fish Restoration Program 5-2 Information Management Branch – National Training Project Leaders Course 2008
  69. 69. Pre-Award: Developing and Reviewing the Project Statement Definition of a Project Statement A project statement or narrative identifies the need and describes the work to be done. It is required for each project to be funded in a grant. Grantees may use their own format for the project statement/narrative. Project statements must contain all elements required in the program guidance. Competitive grant programs contain additional requirements used to evaluate and rank grant applications. Specific program guidance should be reviewed for ranking criteria. Required Elements of a Project Statement A. Need ----- Why? B. Objective ---- What? C. Expected Results --- Benefits? D. Approach --- How? E. Location of Work --- Where? F. Estimated Cost --- $$$ Project Statement 522 FW 1.3 Federal Aid Program Guidance 50 CFR Part Administrative Requirements Federal Aid in Fish and 80.13 Federal Aid in Wildlife Restoration Policy / Program Guidance for specific grant program USFWS – Wildlife and Sport Fish Restoration Program 5-2 Information Management Branch - National Training Project Leaders Course 2008
  70. 70. Pre-Award: Developing and Reviewing the Project Statement Instructor Notes Revised 3/6/08 Need - is the part of the project statement that lays the ground work or the rationale for under- taking the project. Why is the project being done? Why your agency is dealing with the problem or issue? The Need must be related to the program and eligible under the enabling legislation. It is important to identify and write a good need statement. All elements in the project statement must connect. How was it determined or identified? What is driving the need? How does State identify need, how does it fit into State planning process? Agency has legal authority or mandate? Was need identified through public meetings? Nuisance reports from public? Evidence to support the need? Supply/demand? This should be documented with data collected, historical, geographic, quantitative, cultural, economic, factual or statistical. May want to add tables or data in appendixes instead of listing it in the need. Agency strategic plan? Give a clear and concise explanation of the need especially in competitive grants. Objectives must relate to the need stated earlier. Objectives - Specify exactly what you hope to accomplish given the time, funding, and staff. Must relate to need – intended accomplishments during the grant period. Should be measurable or verifiable. Time Bound – Specify a date everyone recognizes as the time frame the objective will be achieved. Objectives should be output / benefit oriented. Realistic – As to time, funds and personnel. Accomplishments must be measurable or verifiable to meet or solve the need. Don’t confuse with approach. Should be clear, concise, specific, measurable, attainable and realistic to address need. Be sure you are able to report accomplishments based on these objectives for reporting purposes. Think ahead! USFWS – Wildlife and Sport Fish Restoration Program 5-3 Information Management Branch – National Training Project Leaders Course 2008
  71. 71. Pre-Award: Developing and Reviewing the Project Statement Defining the Required Elements of a Project Statement NEED • Why is the project being undertaken? • How does the identified need relate to the grant program? • Describe the supply and demand aspects. • What evidence is there about the need? Notes: Increase habitat – why? Not a good need. Protect & conserve species. Build additional BA ramps – why? Provide access to an identified water body. Is it for anglers to have access? How was it determined? Prescribed burns? Provide X number of acres of habitat. Easier to write measurable objectives & expected results tied to need. OBJECTIVES • What measurable or tangible accomplishments are going to be reached by the end of the grant period that will address the NEED(S)? o Specify exactly what you hope to accomplish. o Specify a date everyone recognizes as the time period in which it will be accomplished. o Output / Benefit Oriented o Realistic given the time, funds and personnel o Accomplishments must be measurable or verifiable. Notes: If need was to provide additional angler access – objective could be to build a number of BA ramps that will provide X number of days of angler access or Opportunities. Answer the need. Burns – to provide X number of acres of habitat. USFWS – Wildlife and Sport Fish Restoration Program 5-3 Information Management Branch - National Training Project Leaders Course 2008
  72. 72. Pre-Award: Developing and Reviewing the Project Statement Instructor Notes Revised 3/6/08 Spells out what benefits you expect from solving or addressing the need. Outcome to people using the resource What are the benefits of solving the need? How will the work benefit a variety of individual interests (stakeholders). Take into consideration the outcome requirements or overall success attributed to the project by accomplishing the objectives. How will it be measured? Increased use, economic, access, recreational opportunity? Presents in detail exactly how you propose to: Pursue the work Methods you will employ Timelines you will follow How you will evaluate the results Project Leader Principle Researcher / Investigator Other Key” Staff Should allow anyone reviewing the proposal to make a judgment on the likely hood your proposal will result in meeting the objectives. The methodology that addresses how the objectives will be accomplished. This is the detail, procedures, timeline, key personnel and rationale for using a specific method, it must be scientifically sound. Describes how the project is expected to work to solve the stated problem. Should describe planned activities, staff & resources, how different aspects of the project will interrelate, where personnel are needed & purpose. You may want to include what will happen to the project beyond the funded grant period. The approach must contain enough detail to meet NEPA/Section 7 compliance. You may wish to detail this information out in a separate heading in the project statement. The RO must have adequate info to document and make NEPA/Sec 7 decisions. USFWS – Wildlife and Sport Fish Restoration Program 5-4 Information Management Branch – National Training Project Leaders Course 2008
  73. 73. Pre-Award: Developing and Reviewing the Project Statement Defining the Required Elements of a Project Statement (continued) EXPECTED RESULTS • What positive, quantifiable results and benefits will your work accomplish? o Increased Access - How much, how measured and who will benefit? o Increased Use…How Measured? o Economic Impact…How Measured? o Increased Recreational Opportunity…How Measured? Notes: Measured? National survey? State economic agency? Creel survey? Vehicle counts, survey results, check stations? Results may be used as ranking criteria for competitive grants. These should be addressed in order to receive points. APPROACH • How will you reach the objective(s) in the time allotted? o Specific procedures o Schedules o Key project staff functions o Cooperators Notes: May include 3rd party agreements – local governments to build access sites. The “how” will be used for compliance, especially with NEPA/Section 7. USFWS – Wildlife and Sport Fish Restoration Program 5-4 Information Management Branch - National Training Project Leaders Course 2008
  74. 74. Pre-Award: Developing and Reviewing the Project Statement Instructor Notes Revised 3/6/08 Where will the work be done? Statewide Regional Management Area Specific Location Congressional District Discuss elements of the “Estimated Cost” section of the project statement. Cost Categories vs Cost Centers (Activity Based) Total Project Costs Detail of Match Federal / State / Other Specify Federal program funding State’s fiscal staff should be consulted on developing cost estimates and what categories to employ. May want to check cost principles to see what is allowed, may be submitted by category such as personnel, travel, supplies or by activities or jobs. Must relate to the work and approach. Either in project statement or budget should show indirect costs, include if program income is expected and how it will be used. If projects are split between various subprograms (FW/M) this must also be identified including matching share. Show in-kind matching (if known). Be sure to address the ranking criteria if it is a competitive grant and show in the proper element. USFWS – Wildlife and Sport Fish Restoration Program 5-5 Information Management Branch – National Training Project Leaders Course 2008
  75. 75. Pre-Award: Developing and Reviewing the Project Statement Defining the Required Elements of a Project Statement (continued) LOCATION • Where will the work be done? Notes: Specific location – this may be needed for compliance issues, NEPA and Section 7. If statewide is listed that is where Section 7 ES is applied. ESTIMATED COST • How much does it cost? • Federal / Grantee Share • Cost Detail…Cost Categories or Job Costs? Notes: List by category: Salaries, Supplies, Equipment or by Job 1, Job 2, etc. Specify federal program funding, detail match, 3rd party or other funding Provide enough info for grant specialist to determine substantiality in character and design. Reasonable & necessary items are determined during audit in compliance. This is bigger picture – commensurate with project costs. COMPLIANCE INFORMATION Notes: Compliance info may be included in approach & location, using checklist or other form, or additional documents. For NEPA & Section 7 specifically WSFR must be able to make determination based on information in application and document for the administrative record. Grantee must answer what, when, where, who, why, and how. USFWS – Wildlife and Sport Fish Restoration Program 5-5 Information Management Branch - National Training Project Leaders Course 2008
  76. 76. Pre-Award: Developing and Reviewing the Project Statement Instructor Notes Revised 3/6/08 Competitive grants have different ranking criteria depending on the grant program. It is important to review the specific program guidance, understand the ranking criteria and write a clear and concise project statement / narrative addressing the criteria. WSFR staff review competitive programs using the same criteria in addition to the specific ranking criteria and special requirements in competitive grant program. Address Criteria Identify critical dates in the process Understand how ranking criteria effects your score Maximize non-Federal share Include partners Be sure package is complete. You may not have time to submit additional information. USFWS – Wildlife and Sport Fish Restoration Program 5-6 Information Management Branch – National Training Project Leaders Course 2008

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