P24AS00178 - NCPTT NOFO - Extension.docx

Current as of November 30, 2022

U.S. Department of the Interior National Park Service

Financial Assistance Notice of Funding Opportunity (NOFO)

Note: Per 2 C.F.R. § 1402.204 (f) Bureaus and offices must consider the timeliness of the application submission. Applications that are submitted beyond the announced deadline date must be removed from the review process.

NOTE: All applications must be submitted via email with the required application documents as email attachments to NOFO-NCPTT@NPS.gov.

Table of Contents

Section A: Program Description

Legislative Authority: 54 U.S.C. § 305304, Preservation Grants

Assistance Listing (formerly CFDA) Number: 15.923

Federal Regulations: 2 C.F.R. § 200, 2 C.F.R. § 1402

Program Background and Objectives: The Preservation Technology and Training (PTT) Grants are administered by the National Center for Preservation Technology and Training (NCPTT), the National Park Service’s innovation center for the preservation community. The 2024 PTT Grants are intended to create better tools, better materials, and better approaches to conserving buildings, landscapes, and cultural resources. The Grants should be seen as pushing the field of preservation forward and any application should be innovative in nature. The Grant’s scope should disseminate to the broadest audience and impact national, regional, and/or local preservation practices.

2024 Priorities. While all innovative applications will be reviewed, NCPTT’s 2024 program prioritizes grant applications with the following themes:

· Innovative grant applications related to the utilization of augmented reality and machine learning for innovative approaches within the field of cultural resources are strongly encouraged.

· Innovative grant applications involving climate change response to fire related and inland hydrological (too much water, too little water) issues and their impacts on cultural resources are strongly encouraged.

· Innovative grant applications applying new techniques and technologies to the preservation field from descendant communities and underrepresented communities are strongly encouraged.

While NCPTT encourages applicants to address these research priorities, all grant applicants that are innovative in the field of preservation technology will be considered.

Programmatic Guidance

· Digital Documentation: Any application for digital documentation of buildings or landscapes should go beyond the basic scanning of the cultural resource(s). Grant projects should investigate new ways to conduct, analyze, process, and disseminate digital documentation techniques, data, and use of final products. Projects that do not go beyond basic scanning of cultural resources will not be considered innovative.

· Symposia, conferences, and training: any application for symposia, conferences, or training, must consider how the content is disseminated to a wider audience beyond the event participants.

· Media: as PTT grants are federally funded, media (i.e., podcasts and webinars) should be made available for publication on NCPTT’s website for dissemination to as broad an audience as possible.

PTT Grants will support the following activities:

· Innovative research that develops new technologies or adapts existing technologies to preserve cultural resources (typically $20,000)

· Specialized workshops or symposia that identify and address national preservation needs (typically $5,000 to $15,000)

· Media: how-to videos, podcasts, best practices publications, or webinars that disseminate practical preservation methods or provide better tools for preservation practice (typically $5,000 to $15,000)

PTT Grants will not fund the following:

· “Brick and mortar” grants.

· Publications for profit during the project funding cycle.

· Trainings that generate income to the applicant.

· Routine or well-established technologies.

Section B: Federal Award Information

Estimated Total Funding: $200,000. The amount of funding available per award for this NOFO will be determined once final fiscal year (FY) 2024 appropriations have been made. This NOFO will be cancelled if FY 2024 appropriations are insufficient to support new awards.

Expected Award Amount: An estimated range of $5,000.00 to $20,000.00 of funding is anticipated for each award. The amount of funding available per award for this NOFO will be determined as part of the application review process based on applications received and funding made available through appropriations. The actual grant award amount is dependent on the scope of the proposed activity.

Anticipated Award Date: NPS estimates it will notify the applicant selected for award by July 15, 2024. A notice of selection is not an authorization to begin performance on an agreement. Projects receiving funding through this NOFO will start once funding has been secured and awards have been made. If the project is funded, applicants should expect to be able to begin work mid-September 2024.

Anticipated Term of the Agreement: September 15, 2024 – September 15, 2026 Agreement terms for funded projects are generally two years, depending on the negotiated project statement of work. Agreements are not effective until fully executed with signature from the NPS Financial Assistance Awarding Officer.

Estimated Number of Agreements to be Awarded: 10 – 12 grants Each activity or project under this agreement will be treated individually, with more detail through project statements, project plans and budgets developed cooperatively between the NPS and the non-Federal entity.

Funding Instrument Types:

Grant Agreement - A legal instrument of financial assistance between the National Park Service and a non-Federal entity that, consistent with 31 U.S.C. § 6302, 6304:

(1) Is used to enter into a relationship the principal purpose of which is to transfer anything of value from the Federal awarding agency to the non-Federal entity to carry out a public purpose authorized by a law of the United States (see 31 U.S.C. § 6101(3)); and not to acquire property or services for the Federal awarding agency’s direct benefit or use.

(2) Is distinguished from a cooperative agreement in that it does not provide for substantial involvement between the Federal awarding agency or pass-through entity and the non-Federal entity in carrying out the activity contemplated by the Federal award.

NCPTT and Grantee Interactions - For a grant agreement no substantial involvement on the part of the National Park Service is anticipated. However, NCPTT staff will be available for guidance and may be seen as a resource for grantees throughout the grant period of performance. NCPTT may promote the progress of the research on NPS web pages and social media channels.

Other Information: Applications for renewal or supplementation of existing projects are not eligible to compete with applications for new Federal awards. In addition, no grant recipient may receive more than 10 percent of the grants allocated under this section within any year.

Section C: Eligibility Information

1. Eligible Applicants In accordance with 54 U.S.C. § 305304(c), Preservation Grants, eligible applicants may include—

(1) Federal and non-Federal laboratories;

(2) accredited museums;

(3) universities;

(4) nonprofit organizations;

(5) System units and offices and Cooperative Park Study Units of the System;

(6) State Historic Preservation Offices;

(7) tribal preservation offices; and

(8) Native Hawaiian organizations.

2. Cost Sharing or Matching Non-Federal cost sharing or matching is not required to be eligible for an award under this NOFO.

Excluded Parties: NPS conducts a review of the SAM.gov Exclusions database for all applicant entities and their key project personnel prior to award. The NPS cannot award funds to entities or their key project personnel identified in the SAM.gov Exclusions database as ineligible, prohibited/restricted or otherwise excluded from receiving Federal contracts, certain subcontracts, and certain Federal assistance and benefits, as their ineligibility condition applies to this Federal program.

Foreign Entities or Projects: This program does not provide funding to foreign entities or for projects conducted outside the United States.

Section D: Application and Submission Information

1. Address to Request Application Package An application package described in this Section has been included within this NOFO for your convenience, found in Appendix A. The Application Package contains three mandatory forms, which must be submitted with your proposal, forms include: form SF-424 (Application for Financial Assistance), form SF-424A (Budget Information), and form SF-424B (Assurances). It also includes an optional detailed budget template.

2. Contents and Form of Application Submission You must complete the mandatory standard forms and any applicable optional forms, in accordance with the instructions below, as required by this NOFO. Do not include any proprietary or personally identifiable information. A complete application should include:

Mandatory Requirements:

· Standard Form 424 (SF424) - Application for Federal Assistance. Complete this form as much as possible with all applicable information.

· Standard Form 424A (SF424A) - Budget Information. Applicants must provide an estimated cumulative budget for the total project in the proposal. The estimated budget must align with the projected scope of work presented in the application.

· Detailed Budget – The project budget shall include detailed information on all cost categories and must clearly identify all project costs. Unit costs shall be provided for all budget items including the cost of work to be provided by contractors or sub-recipients. In addition, applicants shall include a narrative description of the items included in the project budget, including the value of in-kind contributions of goods and services provided to complete the project when cost share is identified to be included. Cost categories can include, but are not limited to, those costs items included on the SF424A. The detailed budget may be submitted on the optional “Budget Justification” template (Excel) in the Application Package in Appendix A, or in another format of your choosing.

· Standard Form 424B (SF424B) – Assurances This form must be signed and submitted with your application.

· Project Abstract Summary – The project abstract must be completed to meet Federal award reporting requirements. Ensure the project abstract succinctly describes the project in plain language that the public can understand and use without the full proposal. If the application is funded, this information will be made available for public access including on USAspending.gov. Note: the abstract summary will also be in the project narrative.

· Project Narrative - Proposal Submission Format The proposal is a narrative description that should specifically address each of the review criteria (see Section E). The proposal text must be no longer than 13 pages, no smaller than font size 12, and have .75-inch margins. The 13-page limit includes all text, figures, references, and resumes (Forms SF-424, SF-424A, Detailed Budget, SF-424B, SF-LLL, and the statement of indirect charges are not counted as part of the page limit). Additionally, only information that is pertinent to the proposal should be included.

The project narrative will be a file attachment in the application. Create the file in Microsoft Word or Word compatible software. The project narrative must follow the outline below:

· PROJECT TITLE:

· PROJECT TYPE: CHOOSE ONE

· Research

· Workshop

· Symposium

· Technical Publication

· Mobile Application

· Media (Video, Podcast, Webinar, etc.)

· Documentation

· PROJECT DISCIPLINE: CHOOSE ONE

· Archeology

· Buildings

· Landscapes

· Materials Conservation

· PROJECT ABSTRACT SUMMARY: (250 words)

· INNOVATION: Please explain how your project addresses, uses or adapts innovative preservation technology (100 words)

· NATIONAL NEED AND IMPACT: Describe the project’s significance and national impact (250 words). How will this project benefit the American Public? How can this project be used in other regions of the country? Does this project cut across disciplines?

· BACKGROUND: Offer the pertinent background information, written for a general audience (500 words)

· METHODOLOGY: Explain the methodology to be used in the project (up to 1,000 words)

· REFERENCES: Please provide no more than a one page list of bibliographic references for the project.

· WORK PLAN: Provide a bulleted list of tasks with time frame. Ensure work plan is feasible and can be completed in one year. (500 words)

· Example:

· Month One: Purchase all supplies and test materials

· Months Two through Five: Develop test protocols

· Months Six through Eight: Undertake tests

· Month Nine: Compare test results

· Months Ten through Eleven: Write up results and all final protocols

· Month Twelve: Make necessary revisions and submit grant reports

· DISSEMINATION PLAN: Explain how the results of your project will be disseminated to the end users and will be dessiminated to as large an audience as possible. (250 words)

· QUALIFICATIONS: Prepare a narrative summary of the expertise of the team. (500 words) Attach one-page resumes of each team member.

· BUDGET NARRATIVE: Provide a narrative summary of the project budget. Ensure that travel and salaries meet federal guidelines. If the project is expected to generate income, for example by registration fees for a workshop or symposium, please indicate the nature and source of the income. How will these funds be used to offset costs for the project? (250 words)

· OUTCOMES: Describe tangible outcomes associated with project (500 words). In addition to the interim and final reports required for the grant, will there be other products? Written papers? Presentations? Social Media? Websites? Handbooks? Etc.

· Indirect Costs If your proposed budget includes indirect costs, the rate as proposed must meet the requirements of 2 C.F.R. § 200 and 200.414, and Appendix III through VII of 2 C.F.R. § 200, as applicable. If fully negotiated indirect cost rates are applied, the associated rate agreement must be provided with your proposal. Proposals that fail to document their indirect costs may have those costs disallowed.

· NOTE: This funding opportunity has a mandatory limitation on administrative costs. The total administrative costs, direct and indirect, charged for carrying out grants under this section may not exceed 25 percent of the aggregate costs.

Optional Requirements:

· Conflict of Interest Disclosure Per the Financial Assistance Interior Regulation (FAIR), 2 C.F.R. § 1402.112, applicants must state in their application if any actual or potential conflict of interest exists at the time of submission.

Applicability.

· This section intends to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements.

· In the procurement of supplies, equipment, construction, and services by recipients and by sub recipients, the conflict of interest provisions in 2 C.F.R. § 200.318 apply.

Notification.

· Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass-through entity in accordance with 2 C.F.R. § 200.112.

· Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the Financial Assistance Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by sub recipients.

Restrictions on lobbying. Non-Federal entities are strictly prohibited from using funds under a grant or cooperative agreement for lobbying activities and must provide the required certifications and disclosures pursuant to 43 C.F.R. § 18 and 31 U.S.C. § 352.

Review procedures. The Financial Assistance Officer will examine each conflict-of-interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement and will determine whether a significant potential conflict exists and, if it does, develop an appropriate means for resolving it.

Enforcement. Failure to resolve conflicts of interest in a manner that satisfies the government may be cause for termination of the award. Failure to make required disclosures may result in any of the remedies described in 2 C.F.R. § 200.339, Remedies for noncompliance, including suspension or debarment (see also 2 C.F.R. § 180).

· Uniform Audit Reporting Statement U.S. states, local governments, federally recognized Indian tribes, institutions of higher education, and non- profit organizations expending $750,000 USD or more in Federal award funds in the applicant’s fiscal year must submit a Single Audit report for that year through the Federal Audit Clearinghouse’s Internet Data Entry System, in accordance with 2 C.F.R. § 200(F). U.S. state, local government, federally recognized Indian tribes, institutions of higher education, and non-profit applicants must state if your organization was or was not required to submit a Single Audit report for the most recently closed fiscal year. If your organization was required to submit a Single Audit report for the most recently closed fiscal year, provide the EIN associated with that report and state if it is available through the Federal Audit Clearinghouse website.

· Certification Regarding Lobbying Applicants requesting more than $100,000 in Federal funding must certify to the statements in 43 C.F.R. § 18, Appendix A-Certification Regarding Lobbying. If this application requests more than $100,000 in Federal funds, the Authorized Official’s signature on the appropriate SF-424, Application for Federal Assistance form also represents the entity’s certification of the statements in 43 C.F.R. § 18, Appendix A.

· Disclosure of Lobbying Activities Applicants and recipients must not use any federally appropriated funds (annually appropriated or continuing appropriations) or matching funds under a Federal award to pay any person for lobbying in connection with the award. Lobbying is influencing or attempting to influence an officer or employee of any U.S. agency, a Member of the U.S. Congress, an officer or employee of the U.S. Congress, or an employee of a Member of the U.S. Congress connection with the award. Applicants and recipients must complete and submit the SF-LLL, “Disclosure of Lobbying Activities” form if the Federal share of the proposal or award is more than $100,000 and the applicant or recipient has made or has agreed to make any payment using non-appropriated funds for lobbying in connection with the application or award. The SF-LLL form is available with this Funding Opportunity on Grants.gov. See 43 C.F.R § 18.100 and 31 U.S.C. § 1352 for more information on when additional submission of this form is required.

· Overlap or Duplication of Effort Statement If the project proposed in this application is funded through another Federal financial assistance award, in part or in whole, the applicant must provide a statement detailing the potential funding overlap in regard to activities, costs, or time commitment of key personnel. Provide a copy of any overlapping or duplicative proposal submitted to any other potential funding entity and identify when that proposal was submitted or copy of Federal financial assistance award covering activities covered under this proposal. The statement and the description of overlap or duplication, when applicable, may be provided within the proposal or as a separate attachment to the application. Any overlap or duplication of funding between the proposed project and other active or anticipated projects may impact selection and/or funding amount. If no such overlap or duplication exists, state, “There are no overlaps or duplication between this application and any of our other Federal applications or funded projects.”

If selected for award, NPS reserves the right to request additional or clarifying information for any reason deemed necessary, including, but not limited to:

(a) Other budget information

(b) Financial capability

(c) Evaluation of risk

(d) Name and phone number of the Designated Responsible Employee for complying with national policies prohibiting discrimination (See 43 C.F.R. § 17)

3. Identifier and System for Award Management (SAM.gov) Registration:

This requirement does not apply to individuals applying for funds as an individual (i.e., unrelated to any business or nonprofit organization you may own, operate, or work within), or any entity with an exception to bypass SAM.gov registration with prior approval from the funding bureau or office in accordance with bureau or office policy. All other applicants are required to register in SAM.gov prior to submitting a Federal award application and obtain a Unique Entity Identifier (UEI) which replaces the Data Universal Numbering System (DUNS) number from Dun & Bradstreet in April 2022. A Federal award may not be made to an applicant that has not completed the SAM.gov registration. If an applicant selected for funding has not completed their SAM.gov registration by the time the program is ready to make an award, the program may determine the applicant is not qualified to receive an award. Federal award recipients must also continue to maintain an active SAM.gov registration with current information through the life of their Federal award(s). See the “Submission Requirements” section of this document below for more information on SAM.gov registration. There is no cost to register with Dun & Bradstreet or SAM.gov. There are third-party vendors who will charge a fee in exchange for registering entities with Dun & Bradstreet and SAM.gov; please be aware you can register and request help for free.

Obtain a DUNS Number In April 2022, the Federal Government stopped requiring DUNS numbers. At this point, entities doing business with the government will use the Unique Entity Identifier (UEI) created in SAM.gov in place of a DUNS number. A UEI will be assigned to entities upon registering with SAM.

Register with the System for Award Management (SAM) Applicants can register on the SAM.gov website. The “Help” tab on the website contains User Guides and other information to assist you with registration. The Grants.gov “Register with SAM” page also provides detailed instructions. Applicants can contact the supporting Federal Service Desk for help registering in SAM. Once registered in SAM, entities will be assigned a Unique Entity Identifier (UEI). Entities must renew and revalidate their SAM registration at least once every 12 months from the date previously registered. Entities are strongly encouraged to revalidate their registration as often as needed to ensure their information is up to date and reflects changes that may have been made to the entity’s IRS information. There is no cost to register with SAM.gov. There are third-party vendors who will charge a fee in exchange for registering entities with SAM.gov; please be aware you can register and request help for free. If applicable, foreign entities who want to receive payment directly to a U.S. bank account must enter and maintain valid, current banking information in SAM.

4. Submission Dates and Times Applicants are held responsible for their proposals being submitted to the National Park Service. Applications must be received by Monday, February 5, 2024, 05:00PM, CT. Applicants are encouraged to submit the application well before the deadline. Note: Per 2 C.F.R. § 1402.204(f) Bureaus and offices must consider the timeliness of the application submission. Applications that are submitted beyond the announced deadline date must be removed from the review process.

Application preparation time may take several weeks, so please start the application process as soon as possible. If it is determined that a proposal was not considered due to lateness, the applicant will be notified during the selection process.

5. Intergovernmental Review This funding opportunity is not subject to Executive Order (EO) 12372 “Intergovernmental Review of Federal Programs.” Applicants subject to EO 12372 must contact their State’s Single Point of Contact (SPOC) to find out about and comply with the State’s process. The names and addresses of the SPOC’s are listed in the OMB’s home page at: http://www.whitehouse.gov/omb/grants_spoc/

6. Funding Restrictions Costs incurred by the applicant prior to the start date of the period of performance of a signed Federal award are only allowable with written approval by a Financial Assistance Awarding Officer.

7. Other Submission Requirements Applications must be submitted by email to the National Park Service by the deadline identified in paragraph 4 above. Applications submitted by other means or not received by the deadline will not be considered.

Applications must be sent to: NOFO-NCPTT@NPS.gov

In the event the applicant experiences technical difficulties with submitting their application, please contact: Todd Wilson (todd_wilson@nps.gov or 303-358-8403).

START THIS PROCESS EARLY; DON’T DELAY!

Section E: Application Review Information

1. Criteria NPS will evaluate and consider only those applications that separately address each of the merit review criteria in the project Narrative application requirement. Each applicant is required to provide a detailed project narrative, in accordance with Section D.2., of the following criteria elements. It is HIGHLY recommended that the project narrative has sections labeled by criterion.

Criterion 1

Preservation Technology Innovation

25%

How is the research new and different from other projects?

How is the project technical in nature?

In what ways is the project technically sound?

How do project results improve the preservation practice?

Criterion 2

National Need and Impact

25%

How does this project address a wide range of preservation needs?

How are the project results applicable to more than one cultural resource?

Criterion 3

Dissemination Plan

25%

How will the results be disseminated beyond conference presentations and journal articles?

Criterion 4

Methodology, Workplan, Team Qualifications, Budget

25%

Is the methodology sound, reasonable, and logical?

Is the workplan feasible and able to be completed in the grant period?

Is the team experienced and qualified to do the work proposed?

Is the budget reasonable and customary for the expected outcomes?

2. Review and Selection Process NPS personnel, and in some cases independent reviewers, will review all proposals. All proposals for funding will be considered using the criteria outlined above. A summary of the review panel comments may be provided to the applicant if requested.

a. Administrative Review Prior to conducting the comprehensive merit review, an administrative review will be performed to determine whether: (1) the applicant is eligible for an award; (2) the information required by the NOFO has been submitted; (3) all mandatory requirements of the NOFO are satisfied; and (4) the proposed project is responsive to the program objectives of the NOFO (program determination). If an applicant fails to meet the requirements or objectives of the NOFO, or does not provide sufficient information for review, the applicant will be considered non-responsive and eliminated from further review.

b. Comprehensive Merit Review All applications that satisfactorily pass the initial review will be eligible for the Comprehensive Merit Review. Each criteria element will be scored on a 1-5 point scale:

The following numerical rating values may be assigned: 5, 4, 3, 2, and 1.

The scoring of each criterion must be based on the strengths and weaknesses of the application narrative. To assist in assigning an appropriate score, the following will be used as a guideline:

c. Selection The Selection Official may consider the merit review recommendation, program policy factors, and the amount of funds available to select applications for funding.

Program Policy Factors:

1. Geographic distribution

2. Leveraging of federal resources and partnerships (including cost sharing)

3. Equitable distribution of funding to a range of program objectives

d. Discussions and Award The Government may enter into discussions with a selected applicant for any reason deemed necessary, including, but not limited to: (1) only a portion of the application is selected for award; (2) the Government needs additional information to determine that the applicant is capable of complying with the requirements of DOI Financial Assistance Regulations, and/or (3) additional specific terms and conditions are required. Failure to satisfactorily resolve the issues identified by the Government may preclude award to the applicant.

3. CFR – Regulatory Information See the DOI Standard Award Terms and Conditions for the general administrative and national policy requirements applicable to Service awards. The Service will communicate any other program- or project-specific special terms and conditions to recipients in their notices of award.

Evaluation of Applicant Risk In accordance with 2 C.F.R. § 200.205, applications selected for funding will be subject to a pre-award risk assessment which may include a review of information contained within the applicant’s proposal, past audits, Federal Awardee Performance and Integrity Information System (FAPIIS), and/or past performance on previous Federal financial assistance awards. Negative information that leads to an applicant being designated as “Medium Risk” or “High Risk” may result in specific conditions, as identified in 2 C.F.R. § 200.207, being incorporated into the final award.

Section F: Federal Award Administration Information

1. Federal Award Notices Upon being selected for the award, successful applicants will receive a notification of the selection of their application for funding. NPS estimates it will notify the applicant selected for award by July 15, 2024. A notice of selection is not an authorization to begin performance on an agreement. This notice will detail the next steps in the awarding process. Once all clearances and reviews have been conducted, a grant will be sent for signature. Projects should expect to begin by mid-September 2024, once all paperwork has been processed and the grant is fully awarded.

Work cannot begin before the non-Federal entity receives a fully executed copy of the grant which contains the signature of the Financial Assistance Awarding Officer. Any pre-award costs incurred prior to the receipt of a signed agreement or written notice signed by a Financial Assistance Awarding Officer authorizing pre-award costs, is at the applicant’s own risk. A fully executed grant signed by a Financial Assistance Awarding Officer is the only authorizing document to begin performance.

Organizations whose applications have not been selected will be advised as promptly as possible.

2. Administrative and National Policy Requirements

See the “DOI Standard Terms and Conditions” for the administrative and national policy requirements applicable to DOI awards.

Data Availability Per the Financial Assistance Interior Regulation (FAIR), 2 C.F.R. § 1402.315:

(a) All data, methodology, factual inputs, models, analyses, technical information, reports, conclusions, valuation products or other scientific assessments in any medium or form, including textual, numerical, graphic, cartographic, narrative, or audiovisual, resulting from a financial assistance agreement is available for use by the Department of the Interior, including being available in a manner that is sufficient for independent verification.

(b) The Federal Government has the right to:

(1) Obtain, reproduce, publish, or otherwise use the data, methodology, factual inputs, models, analyses, technical information, reports, conclusions, or other scientific assessments, produced under a Federal award; and

(2) Authorize others to receive, reproduce, publish, or otherwise use such data, methodology, factual inputs, models, analyses, technical information, reports, conclusions, or other scientific assessments, for Federal purposes, including to allow for meaningful third-party evaluation.

3. Reporting

a. Financial Reports: All recipients must use the SF-425, Federal Financial Report form for financial reporting. At a minimum, all recipients must submit a final financial report. Final reports are due no later than 120 calendar days after the award period of performance end date or termination date. For awards with periods of performance longer than 12 months, recipients are required to submit interim financial reports on the frequency established in the Notice of Award. The only exception to the interim financial reporting requirement is if the recipient is required to use the SF 270/271 to request payment and requests payment at least once annually through the entire award period of performance. We will describe all financial reporting requirements in the Notice of Award.

b. Performance Reports: Performance reports must contain a comparison of actual accomplishments with the established goals and objectives of the award; a description of reasons why established goals were not met, if appropriate; and any other pertinent information relevant to the project results. Final reports are due no later than 120 calendar days after the award period of performance end date or termination date. For awards with periods of performance longer than 12 months, recipients are required to submit interim financial reports on the frequency established in the Notice of Award.

c. Real Property Reports: Recipients and subrecipients are required to submit status reports on the status of real property acquired under the award in which the Federal government retains an interest. The required frequency of these reports will depend on the anticipated length of the Federal interest period. The Bureau will include recipient-specific real property reporting requirements, including the required data elements, reporting frequency, and report due dates, in the Notice of Award when applicable.

d. Conflict of Interest Disclosures: Recipients must notify the program immediately in writing of any conflicts of interest that arise during the life of their Federal award, including those reported to them by any subrecipient under the award. Recipients must notify the program in writing if any employees, including subrecipient and contractor personnel, are related to, married to, or have a close personal relationship with any Federal employee in the Federal funding program or who otherwise may have been involved in the review and selection of the award. The term employee means any individual engaged in the performance of work pursuant to the Federal award. Recipients may not have a former Federal employee as a key project official, or in any other substantial role related to their award, whose participation put them out of compliance with the legal authorities addressing post-Government employment restrictions. See the U.S. Office of Government Ethics website for more information on these restrictions. The Service will examine each conflict-of-interest disclosure based on its particular facts and the nature of the project and will determine if a significant potential conflict exists. If it does, the Service will work with the recipient to determine an appropriate resolution. Failure to disclose and resolve conflicts of interest in a manner that satisfies the Service may result in any of the remedies described in 2 C.F.R. § 200.339 Remedies for Noncompliance, including termination of the award.

e. Other Mandatory Disclosures: The Non-Federal entity or applicant for a Federal award must disclose, in a timely manner, in writing to the Federal awarding agency or pass-through entity all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal award. Non-Federal entities that receive a Federal award including the terms and conditions outlined in 2 C.F.R. § 200, Appendix XII—Award Term and Condition for Recipient Integrity and Performance Matters are required to report certain civil, criminal, or administrative proceedings to SAM. Failure to make required disclosures can result in any of the remedies described in 2 C.F.R. § 200.339 Remedies for Noncompliance, including suspension or debarment.

4. Significant Developments Reports:

Events may occur between the scheduled performance reporting dates which have significant impact upon the supported activity. In such cases, recipients are required to notify the Bureau in writing as soon as the recipient becomes aware of any problems, delays, or adverse conditions that will materially impair the ability to meet the objective of the Federal award. This disclosure must include a statement of any corrective action(s) taken or contemplated, and any assistance needed to resolve the situation. The recipient should also notify the Service in writing of any favorable developments that enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned.

Section G: Federal Awarding Agency Contacts

Program Technical Contact:

Program Administration Contact:

Application System Technical Support:

For Grants.gov technical registration and submission, downloading forms and application packages, contact Grants.gov Customer Support at 1-800-518-4726 or Support@grants.gov.

Section H: Other Information:

Payments: Domestic recipients are required to register in and receive payment through the U.S. Treasury’s Automated Standard Application for Payments (ASAP), unless approved for a waiver by the Service program. Foreign recipients receiving funds to a final destination bank outside the U.S. are required to receive payment through the U.S. Treasury’s International Treasury Services (ITS) System. Foreign recipients receiving funds to a final destination bank in the U.S. are required to enter and maintain current banking details in their SAM.gov entity profile and receive payment through the Automated Clearing House network by electronic funds transfer (EFT). The Bureau will include recipient-specific instructions on how to request payment, including identification of any additional information required and where to submit payment requests, as applicable, in all Notices of Award.

Appendix A - Application Package Forms SF424, SF424A, SF424B, and Detailed Budget (Example Budget Justification)

The SF424, SF424A, and SF424B can be found here: grants.gov/forms/forms-repository/sf-424-mandatory-family image1.jpg image2.emf

Example Budget Justification.xlsx Budget Justification

Example Detailed Budget Justification - Not a Required Form

Award Number: (Not Available at Application) Award Recipient:

General Instructions

1. Only fill in light blue cells, white cells contain instructions, headers, or summary calculations and should not be modified.

2. The Summary section at the end will auto-fill when each budget subsection is completed.

3. Budget categories must include both Federal and Non-Federal (cost match) portions. All costs must be directly relevant to the project objectives.

4. All costs incurred by the preparer's sub-recipients and vendors should be entered only in section f. Contractual.

5. All costs must be allowable, allocable, and reasonable in accordance with the administrative requirements and applicable cost principles prescribed in 2 CFR 200.

6. Rows can be added as needed throughout sections a. through j. If rows are added, formulas/calculations may need to be adjusted.

Cost Match Instructions

1. The budget must include at least the minimum Federal to non-Federal required match, if applicable.

2. Cost Match can be either Cash or In-kind. Cash Cost Match - encompasses all contributions to the project incurred and paid for during the project. This includes Cost Match payments for personnel, supplies, equipment, activities and items necessary for the project. In-kind Cost Match - encompasses all contributions to the project that do not involve a payment or reimbursement and represent donated items or services that are necessary to the performance of the project. This includes volunteer personnel hours, donated existing equipment, donated existing supplies, etc. The market value and calculations for all In-kind cost match items must be justified and explained.

3. Funds from other Federal sources MAY NOT be counted as cost match. Non-Federal sources include any source not originally derived from Federal funds.

4. Fee or profit, including foregone fee or profit, are not allowable as project costs (including cost match). The project may only incur those costs that are allowable and allocable to the project (including cost match) as determined in accordance with the administrative requirements and cost principles in 2 CFR 200.

a. Personnel

1. Personnel are staff employed by the lead applicant organization. Personnel costs for subrecipients and vendors must be included under f. Contractual.

2. Identify all personnel by position title. Enter the amount of time (i.e., hours or % of time) and the base pay rate and the total will automatically calculate. Also include the basis of rate (e.g., actual salary, labor distribution report, state civil service rates, etc.). Personnel costs may only include time spent working directly on the project.

3. If a position and hours are attributed to multiple employees (e.g. Technician working 2500 hours) the number of employees for that position title must be identified.

Position Title Time (Hrs or %) Rate (Hr or Salary) Total Cost Federal Share Cost Match Rate Basis

EXAMPLE!!! Sr. Engineer 400 $46.00 $18,400 $14,000 $4,400 Actual Salary

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

Total 0 $0 $0 $0

b. Fringe Benefits

1. Fill out the table below by position title. If all employees receive the same rate, you may list Total Personnel in the Position column instead of listing out all position titles. If more than one rate is used, list each rate separately. Complex calculations should be provided in the Comments section.

2. Fringe rates may not exceed what is currently provided by the organization. If a federally approved Fringe rate exists, provide the rate agreement with the application.

Position Title Personnel Rate Total Cost Federal Share Cost Match Comments (as needed)

EXAMPLE!!! Sr. Engineer $18,400 20% $3,680 $1,680 $2,000

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

Total: $0 $0 $0 $0

c. Travel

1. All travel must be necessary for performance of the project objectives.

2. Travel costs should remain consistent with travel costs incurred by an organization during normal business operations as a result of the organizations written travel policy. In absence of a written travel policy, organization's must follow the regulations prescribed by the General Services Administration (GSA): www.gsa.gov.

From To # of Days # of Travelers Lodging per Traveler Flight per Traveler Vehicle per Traveler Per Diem per Traveler Cost per Trip Federal Share Cost Match Basis for Estimate

Denver Washington, D.C. 2 2 $250 $500 $100 $160 $2,020 $1,520 $500 GSA rates

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

Total $0 $0 $0

d. Equipment

1. Equipment is generally defined as one item with an acquisition cost greater than $5,000 and a useful life of more than one year. Refer to the supplies section for items of lesser value and useful life.

2. List all equipment noting its purpose in the project and the basis of cost (e.g. vendor quotes, catalog prices, prior invoices, etc.). If it is existing equipment, provide a justification for its estimated value.

3. Note that equipment items with a residual value of $5,000 or more at the end of the award will be subject to the equipment disposition regulations in 2 CFR 200.313.

Equipment Item Quantity Unit Cost Total Cost Federal Share Cost Match Basis of Cost Purpose

EXAMPLE!!! Commercial Printer 1 $12,000 $12,000 $8,000 $4,000 Vendor Quote Printing of photographs and brocures

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

Total $0 $0 $0

e. Supplies

1. Supplies are generally defined as items with an acquisition cost of $5,000 or less and a useful life expectancy of less than one year. Supplies are generally consumed during the project.

2. List all supplies noting their purpose in the project and the basis of cost (e.g. vendor quotes, catalog prices, prior invoices, etc.). Supply items must be direct costs to the project and not duplicative of supply costs covered in the indirect rate.

3. Multiple supply items valued at $5,000 or less used to assemble an equipment item with a value greater than $5,000 and useful life of more than one year should be included in the equipment section.

Supply Item Quantity Unit Cost Total Cost Federal Share Cost Match Basis of Cost Purpose

EXAMPLE!!! Photo Laminate 800 $2.00 $3,600 $3,600 $0 Catalog price Lamination of the printed photographs

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

Total $0 $0 $0

f. Contractual

1. List all third party costs as either sub-recipients or contractors. A sub-recipient (partner, sub-awardee) is a legal entity to which a subaward is made, who has performance measured against whether the objectives of the grant project are met, is responsible for project-related decision-making, must adhere to the applicable grant program compliance requirements, and uses the Federal funds to carry out a program of the organization. A contractor (vendor): is a legal entity contracted to provide goods and services within normal business operations, provides similar goods or services to many different purchasers, operates in a competitive environment, provides goods or services that are ancillary to the operation of the grant project, and is not subject to compliance requirements of the Federal program. All characteristics may not be present and judgment must be used to determine subrecipient vs. contractor status.

2. For each sub-recipient budget cost that is 35% or more of the total project costs, a separate budget justification form must be submitted with the application. The sub-recipient budget justification may be completed by the lead applicant or the sub-recipient.

3. List all vendors supplying commercial supplies or services used to support the project. For each Vendor budget cost that is 35% or more of the total project costs, a vendor price quote must be submitted with the application. All vendor work must be competitively selected in accordance with the procurement standards in 2 CFR 200.317 - 200.326.

Subrecipient Name Purpose Total Cost Federal Share Cost Match Basis of Cost

EXAMPLE!!! XYZ Corp. Partner to develop training curriculum for teachers $25,000 $10,000 $15,000 Personnel and supplies costs

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

Subtotal $0 $0 $0

Vendor Name Purpose Total Cost Federal Share Cost Match Basis of Cost

EXAMPLE!!! ABC Corp. Vendor to perform photograph scanning $8,000 $0 $8,000 Cost per 800 photos

$0 $0

$0 $0

$0 $0

$0 $0

$0 $0

Subtotal $0 $0 $0

Total $0 $0 $0

g. Construction

1. Construction is generally defined as construction, alteration, or repair (including dredging, excavating, and painting) of buildings, structures, or other real property.

2. List all proposed construction below, providing a basis of cost such as engineering estimates, prior construction, etc., and purpose as it applies to the Project Objectives.

General Description Purpose Total Cost Federal Share Cost Match Basis of Cost

EX…