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U.S. GRANT ADMINISTRATION STANDARDS
North American Wetlands Conservation Act
and
Neotropical Migratory Birds Conservation Act
PAPERWORK REDUCTION ACT STATEMENT: This information collection is authorized by the North
American Wetlands Conservation Act of 1989 (NAWCA), as amended (16 U.S.C. 4401 et seq.) , and the
Neotropical Migratory Bird Conservation Act (NMBCA) (16 U.S.C. 6101 et seq.). Your response is
required to obtain or retain a benefit in the form of a grant. Our estimates of the amount of time it will
take to complete an application and report for each of the grant programs in this collection are shown
below. These estimates include time to review instructions, gather and maintain data, and complete and
review the proposal or report.
GRANT PROGRAM
U.S. Small Grants
U.S. Standard Grants
Canada Standard Grants
Mexico Standard Grants
NMBCA Grants
COMPLETION TIME –
APPLICATION
40 hours
203 hours
80 hours
80 hours
60 hours
COMPLETION
TIME – REPORT
33 hours
30 hours
30 hours
30 hours
40 hours
An agency may not conduct or sponsor and a person is not required to respond to a collection of
information unless it displays a currently valid Office of Management and Budget control number. OMB
has reviewed and approved this information collection and assigned OMB Control Number 1018-0100.
You may submit comments on any aspect of this information collection, including the accuracy of the
estimated burden hours and suggestions to reduce this burden. Send your comments to: Information
Collection Clearance Officer, U.S. Fish and Wildlife Service, 1849 C Street, NW., Mail Stop BPHC,
Washington, D.C. 20240,
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
A. APPLICABILITY AND AUTHORITIES ....................................................................................................4
A-1
To what do these Standards apply?.......................................................................................................... 4
A-2
What laws and regulations govern a North American Wetlands Conservation Act (NAWCA) or a
Neotropical Migratory Bird Conservation Act (NMBCA) grant? ............................................................4
B. GRANT AGREEMENT ................................................................................................................................. 4
B-1
What constitutes a Grant Agreement?...................................................................................................... 4
B-2
What Certifications and Assurances are required?.................................................................................. 4
B-3
At what point has the Recipient entered into a binding agreement? ........................................................4
B-4
Who has the authority to terminate the Grant Agreement? ...................................................................... 5
C. REPORTS AND OTHER DOCUMENTATION.........................................................................................5
C-1
What reports and other documents are required before the Grant Agreement is executed? ...................5
C-2
What reports and other documentation does the Recipient have to provide during the funding period? 5
C-3
What information must the Recipient include in an annual performance report? ...................................7
C-4
What reports and other documentation must the Recipient provide at the end of the funding period?....8
C-5
What information must be included in a final performance report? ........................................................8
C-6
May reporting deadlines be extended?..................................................................................................... 8
C-7
What documentation must be made available for FWS monitoring? .......................................................8
C-8
How long must project records be retained? ........................................................................................... 8
D. FINANCIAL ADMINISTRATION ..............................................................................................................9
D-1
What is the funding period? ..................................................................................................................... 9
D-2
May the Recipient or subrecipient incur pre-agreement costs before the funding period?......................9
D-3
When must grant funds and matching contributions be obligated? .........................................................9
D-4
Does the Recipient or subrecipient have to complete all the work on the project during the funding
period? ..................................................................................................................................................... 9
D-5
Is the use of matching contributions subject to the same requirements as the use of grant funds?.........9
D-6
What is allowable match for a NMBCA project in the United States? ...................................................10
D-7
If the Recipient or subrecipient generates match contributions in excess of the project’s approved
match-grant ratio, may this be used as match in a future grant? ...........................................................10
D-8
How old can matching in-kind contributions be? .................................................................................. 10
D-9
What documentation is required to ensure compliance with Section 106 of the National Historic
Preservation Act for matching in-kind contributions (ineligible in NMBCA grants) acquired or
performed before the FWS receives a NAWCA proposal? .....................................................................11
D-10
Are acquisition costs that are incurred before the FWS receives the Proposal and used as matching in-
kind contributions (ineligible in NMBCA grants) subject to the relocation assistance and real property
acquisition requirements of 49 CFR, Part 24?....................................................................................... 11
D-11
What constitutes satisfactory compliance with matching commitments? ...............................................11
D-12
Who may contribute matching cash or, for NAWCA only, in-kind contributions to a project? .............11
D-13
What is program income? ...................................................................................................................... 11
D-14
Should “net” or “gross” income be used when calculating and reporting program income? ..............11
1
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
D-15
How may the Recipient use program income? ....................................................................................... 12
D-16
How is income generated outside the funding period handled? .............................................................12
D-17
What can the Recipient or subrecipient acquire using grant funds? ......................................................12
D-18
If a project involves easement acquisition during the project period, is FWS approval required before
grant funds may be drawn? .................................................................................................................... 12
D-19
Are indirect costs, facilities costs, and direct overhead and administrative costs allowable? ...............12
D-20
What is required for the Recipient to receive Federal funds? ................................................................ 12
D-21
What funds must be spent before the Recipient may draw down grant funds? .......................................13
D-22
Must the Recipient deposit Federal cash advances in interest-bearing accounts separate from other
funds? ..................................................................................................................................................... 13
D-23
May the Recipient keep the interest earned on Federal cash advances? ...............................................13
D-24
How long does a Recipient have to disburse or refund money obtained as a Federal cash advance? ..14
E. EQUIPMENT AND SUPPLIES ..................................................................................................................14
E-1
May the Recipient or subrecipient purchase and manage equipment with grant or match funds? .......14
E-2
May the Recipient or subrecipient replace and dispose of equipment obtained with grant funds? .....14
E-3
How often must the Recipient or subrecipient inventory equipment? ....................................................15
E-4
May the Recipient or subrecipient dispose of supplies and other expendable property purchased with
grant or matching funds? ....................................................................................................................... 15
F. REAL PROPERTY ACQUISITION...........................................................................................................15
F-1
What real property acquisition costs may be paid with grant or matching funds? ................................15
F-2
When does the Recipient or subrecipient incur the costs of acquiring real property? ...........................15
F-3
Must conservation easements be approved by FWS before finalization and acquisition? .....................16
F-4
May condemnation proceedings be used to purchase lands in NAWCA or NMBCA projects? .............16
F-5
What notice must be provided to a seller? ............................................................................................. 16
F-6
What if the Recipient or subrecipient fails to provide the required notice? ...........................................16
F-7
Are appraisals required?........................................................................................................................ 17
F-8
What constitutes an acceptable appraisal? ............................................................................................ 17
F-9
Must appraisals be reviewed? ................................................................................................................ 17
F-10
Must the Recipient or subrecipient pay market value for real property?...............................................17
F-11
May the Recipient or subrecipient purchase real property subject to leases or occupied by tenants? ..18
F-12
Do relocation requirements apply if the price is set before the FWS receives the Proposal, but the title
is transferred after the FWS receives the Proposal? .............................................................................. 18
F-13
What documents must be submitted when acquiring an interest in real property? ................................18
F-14
What recorded notices are required for real property included in a project? .......................................19
F-15
Can the Recipient or subrecipient be reimbursed with grant funds if title is transferred before the FWS
receives the Proposal? ........................................................................................................................... 19
F-16
Must the Recipient or subrecipient record deeds, leases, easements or other conveyance documents? 19
F-17
Can the Recipient or subrecipient obtain a waiver of these land acquisition requirements? ................20
G. PROPERTY MANAGEMENT ...................................................................................................................20
2
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
G-1
Does the Recipient or subrecipient have continuing obligations to manage property acquired through
a Grant Agreement? ............................................................................................................................... 20
G-2
May the Recipient or subrecipient encumber, sell, or transfer some or all of the interests in real
property acquired through a Grant Agreement? .................................................................................... 20
G-3
For real property restored or enhanced under a Grant Agreement, how must the Recipient or
subrecipient manage the property? ........................................................................................................ 20
G-4
How long must the Recipient or subrecipient manage restored or enhanced real property for the
project purposes? ................................................................................................................................... 20
H. MODIFICATIONS....................................................................................................................................... 21
H-1
Must the Recipient or subrecipient receive prior approval to depart from what is specified in the Grant
Agreement? ............................................................................................................................................ 21
H-2
May the Recipient extend the funding period? ....................................................................................... 22
H-3
How does the Recipient obtain an extension? ........................................................................................ 22
I. NONCOMPLIANCE ..................................................................................................................................... 22
I-1
What constitutes noncompliance with the Grant Agreement? ................................................................ 22
I-2
What considerations are used to evaluate noncompliance with the Grant Agreement? ........................22
I-3
What are the potential consequences of noncompliance with the Grant Agreement?............................23
I-4
What are the grounds for imposition of special administrative conditions during the funding period? 23
I-5
What special administrative conditions may be imposed during the funding period? ...........................24
I-6
What are the grounds for debarment and suspension of a Recipient or subrecipient from Federal
financial and non-financial assistance and benefits? ............................................................................. 24
I-7
What happens if the Recipient does not submit a Financial Status Report or a Performance Report by
the due date? .......................................................................................................................................... 25
I-8
What are the penalties for an unpaid debt to the FWS? ......................................................................... 25
J. AUDITS AND MONITORING ....................................................................................................................25
J-1
Must the Recipient or subrecipient arrange for an annual audit of project expenditures? ....................25
J-2
May the FWS conduct its own audit of a NAWCA- or NMBCA-funded project? ...................................26
J-3
Does the FWS have the authority to inspect and monitor real property, equipment, and supplies
acquired, habitat restored or enhanced, or wetlands established? ........................................................26
J-4
Is the Recipient responsible for documenting all reported grant and match activities? ........................26
APPENDIX A: CERTIFICATIONS AND ASSURANCES .......................................................................................................................... 27
APPENDIX B: DEFINITIONS ....................................................................................................................................................................... 30
APPENDIX C: SAMPLE NOTICE OF GRANT REQUIREMENTS TEMPLATE ................................................................................. 36
APPENDIX D: INDEX ..................................................................................................................................................................................... 37
3
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
A. APPLICABILITY AND AUTHORITIES
A-1
To what do these Standards apply?
These Standards apply to any project that;
(a) is granted Federal financial assistance approved under the authority of the
(NAWCA) or the Neotropical Migratory Bird Conservation Act (NMBCA); and
(b) occurs on lands or waters under the jurisdiction of the United States of America.
A-2
What laws and regulations govern a North American Wetlands Conservation Act (NAWCA) or a
Neotropical Migratory Bird Conservation Act (NMBCA) grant?
The authority for the North American Wetlands Conservation Act grant program is 16 USC 4401
et seq., as amended. The authority for the Neotropical Migratory Bird Conservation Act grant
program is 16 USC 6101 et seq., as amended. General provisions applicable to grants awarded by
agencies of the U.S. Department of the Interior, including definitions of terms used in this
document, are in Title 43, Part 12, of the Code of Federal Regulations (CFR). General Provisions
applicable to the acquisition of real property under a Federal grant, including definitions of terms
used in this document, are in 49 CFR, Part 24. The actual laws and regulations take precedence
over any restatement, summary, or interpretation of the same in this document.
B. GRANT AGREEMENT
B-1
What constitutes a Grant Agreement?
The Grant Agreement consists of a signed Notice of Award and a Grant Agreement Summary
Form which incorporates these Standards, the Proposal and any approved amendments, and
Recipient's signed Standard Form 424 (SF-424), including required Certifications and
Assurances.
B-2
What Certifications and Assurances are required?
The SF-424D Assurances for Construction Projects are required for all NAWCA projects. The
SF-424D Assurances for Construction Projects are required for all NMBCA projects involving
acquisition, restoration or enhancement of habitat. For all other NMBCA activities the SF-424B
Assurances for Non-Construction Projects are required.
By receiving Federal funds, the Recipient agrees to Certifications regarding Proposal Submission,
Conflict of Interest, Debarment, Suspension, and other Responsibility Matters, Lobbying, and
Drug-Free Workplace, as explained in Appendix A of these Standards.
B-3
At what point has the Recipient entered into a binding agreement?
B-4
The Recipient agrees to terms and conditions of the grant by signing the SF-424 and required
Assurances, and enters a binding agreement by receiving Federal funds through the electronic
funds transfer process.
Who has the authority to terminate the Grant Agreement?
4
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
The Recipient may decline the award or request a delay of the execution date by written notice to
the U.S. Fish and Wildlife Service (FWS) Grant Officer within 10 business days of receipt of the
Grant Agreement. FWS may terminate the award in whole or in part if a Recipient materially
fails to comply with the terms and conditions of an award. The FWS may also terminate this
award with the consent of the Recipient, in which case the two parties must agree upon the
termination conditions, including the effective date and, in the case of partial termination, the
portion to be terminated. The Recipient may terminate the award upon sending to FWS written
notification setting forth the reasons for such termination, the effective date, and in the case of
partial termination, the portion to be terminated. However, if FWS determines in the case of
partial termination that the reduced or modified portion of the Grant Agreement will not
accomplish the purposes for which the grant was made, it may terminate the grant in its entirety.
In any partial termination of an award, FWS must consider the Recipient’s responsibilities for
property management (if any) and to submit financial, performance, and other reports required by
this document.
C. REPORTS AND OTHER DOCUMENTATION
C-1
What reports and other documents are required before the Grant Agreement is executed?
(a) Documentation of compliance with 36 CFR, Part 800, which implements the National
Historic Preservation Act (NHPA), for all project activities. (See Section D-9 regarding
documentation for certain matching in kind contributions, or “old match” allowable only in
NAWCA projects.)
(b) FWS documentation demonstrating compliance with the National Environmental Policy Act
(NEPA) and the Endangered Species Act for all project activities.
(c) For NAWCA projects, the Secretary of the Interior (or his or her designee) must make a
finding that the real property interests should not be included in the National Wildlife Refuge
System. The Recipient must obtain an additional such finding if a tract not included in the
Proposal is targeted for acquisition.
(d) Documentation from FWS Regional Offices or field stations demonstrating that contaminants
will not preclude the incorporation of those lands acquired in the project into the National
Wildlife Refuge System (applicable only if such lands will be acquired in the project).
C-2
What reports and other documentation does the Recipient have to provide during the funding
period?
(a) The annual reporting period is dependent on the award’s performance start date. The
performance period for interim reports ends on the last day of the quarter that includes the
anniversary of the project start date. Annual performance and financial reports must be submitted
to the Grant Officer 90 calendar days after the interim report end date. The table below shows the
schedule of reporting. All reports are cumulative.
(b) Annual financial status must be reported on Standard Form 425 (SF-425). The first annual
financial report must include all project-related financial activity from the date the Proposal was
received by FWS to the end of the annual performance period (see table below), and should
include any approved and eligible old match and in-kind match (NAWCA only) and preagreement costs. If a separate subaward is issued by FWS Division of Bird Habitat Conservation
5
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
(DBHC) for the project, the subrecipient must submit a separate SF-425 reporting only their grant
fund expenditures.
Award Performance Start
Date
Annual Interim Report
End Date
January 1
January 2- March 31
April 1
April 2- June 30
July 1
July 2- September 30
October 1
October 2 – December 31
December 31
March 31
March 31
June 30
June 30
September 30
September 30
December 31
Annual Interim Report
Due Date
(90 days after report
end date)
March 31
June 29
June 29
September 28
September 28
December 29
December 29
March 31
(c) Real property acquisition documentation must be submitted with Annual or Final Reports for
any transactions completed during the reporting period.
(d) If the Recipient chooses the ability to receive advance payment of Federal funds through the
electronic funds transfer process, quarterly financial reports are required during the entire project
period. Quarterly reports are required if you have selected the option to request advances, even if
you do not exercise this option. In addition, a quarterly report must be submitted each quarter
regardless of whether you have expended any grant funds during that quarter. The quarterly
interim reporting period always ends December 31, March 31, June 30, or September 30. We
must receive quarterly interim reports no later than 30 calendar days after the last day of each
quarterly interim reporting period (see table below for reporting schedule). Federal Cash
Transactions must be reported quarterly on the SF 425 and e-mailed to your NAWCA grant
officer. You will use one type of Federal Financial reporting form for duration of your grant, but
different information is required for annual and quarterly reports. For quarterly reporting, fill out
sections 1-9, section 10 a-c, and certify in section 13. If any of your grant funds have been drawn
down but not expended, an explanation of how long you have had the funds and why should be
entered in section 12.
Quarterly financial reports are due on the following dates:
Reporting Quarter
January 1 – March 31
April 1 – June 30
July 1 – September 30
October 1 – December 31
SF-425 due date
April 30
July 30
October 30
January 30
If the recipient chooses to receive reimbursements only, no quarterly report is required.
(e) Recipients of awards that include any funds obligated by FWS on or after October 11, 2011,
are required to report executive compensation and subaward information under the Federal
Funding Accountability and Transparency Act (FFATA).
Recipients must report the following information:
6
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
(1) The FFATA Subaward Reporting System (FSRS.gov) is the system that allows grant
award and contract award recipients to electronically report their sub-award activity.
Recipients must report using their DUNS number, and the DUNS number(s) of their subawardee(s), the names and total compensation of the five most highly compensated
officers of the entity if the entity in the preceding fiscal year received 80 percent or more
of its annual gross revenues in Federal awards; and $25,000,000 or more in annual gross
revenues from Federal awards; and the public does not have access to this information
about the compensation of the senior executives of the entity through periodic reports
filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C.
§§78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. See FFATA
§2(b)(1).
In addition, Recipients must report the following information related to each subaward if the
Federal award amount is equal to or over $25,000 at any time during the project period:
(1) name of the entity receiving the award;
(2) amount of the award;
(3) information on the award including transaction type, funding agency, Catalog of
Federal Domestic Assistance number, program source, and award title descriptive of the
purpose of each funding action;
(4) location of the entity receiving the award and primary location of performance under
the award, including city, State, congressional district, and country;
(5) unique identifier of the entity receiving the award and the parent entity of the
recipient, should the entity be owned by another entity; and
Recipients must report executive compensation and subaward information by the end of the
month after the subaward was made. For example, if a subaward was made on December 18, the
information must be entered by January 31. For more information about FFATA reporting please
see http://www.fsrs.gov.
C-3
What information must the Recipient include in an annual performance report?
(a) A comparison of cumulative actual accomplishments with proposed objectives, for both grant
and match-funded activities. The comparison should include a listing of the objectives and
description of the extent of accomplishment for each objective. If DBHC has issued a subaward
to a Federal entity for the project, the accomplishments of the subrecipient should be included in
the performance report that is submitted by the Recipient.
(b) A budget table comparing proposed and cumulative actual grant and match expenditures by
partner.
(c) For Standard Grant NAWCA projects only, a comparison of the acres achieved compared
with the acres described by category in the responses to Technical Assessment Questions 4 and 5
of the Proposal, and an explanation of any differences.
7
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
C-4
What reports and other documentation must the Recipient provide at the end of the funding
period?
(a) A final performance report must be received by the Grant Officer within 90 days of the end of
the funding period.
(b) A final financial status report on Standard Form 425 must be received by the Grant Officer
within 90 days of the end of the funding period.
(c) Complete shapefiles in geospatial vector data format for geographic information systems
software (GIS) that describe all interests in real property that the Recipient or match provider
purchased, restored, enhanced, or created with grant or matching dollars or accepted as in-kind
matching contributions as part of the project. If possible, use WGS 1984 projection data.
(d) Real property acquisition documentation not already provided with annual reports.
(e) An inventory of all equipment acquired by the Recipient with Federal funds.
(f) An inventory of unused supplies if the total aggregate value upon completion of the project
exceeds $5,000.
C-5
What information must be included in a final performance report?
The final report must include all of the information required in the annual performance report and
cover the entire project period (including old match in NAWCA projects). In addition, for
Standard Grant NAWCA projects only, the report must include the tract table as presented in the
Proposal (or as amended) with proposed and actual acreage accomplishments, and an explanation
of any substitutions or differences. The tract table must include latitude and longitude (lat/long)
information for properties involved in the project. The coordinates should be taken at the primary
entrance to the property using NAD 83 datum, and reported in decimal degree or degree-minutesecond format.
C-6
May reporting deadlines be extended?
Annual and final report deadlines may be extended for up to 30 days if a written request is made
by the Recipient before the deadline and approved in writing by the Grant Officer and DBHC
Branch Chief. Extension of the deadline for a final report does not automatically extend the
liquidation period at the end of the project period.
C-7
What documentation must be available for FWS monitoring?
The Recipient must have access to thorough records of all grant and match expenditures and
supporting documentation for those expenditures. Recipient must also have access to complete
records substantiating compliance with any applicable Federal or program level financial,
administrative, and property requirements. These records must be made available for review if
requested by FWS. See J-4 for additional information regarding responsibilities when monitored.
C-8
How long must project records be retained?
All project records must be retained for at least 3 years from FWS receipt of a complete final
report and all required supporting documentation.
8
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
D. FINANCIAL ADMINISTRATION
D-1
What is the funding period?
The funding period will be designated in the Agreement and last no more than two years unless it
is extended. The terms “grant period” and “project period” are considered synonyms for the
funding period.
D-2
May the Recipient or subrecipient incur pre-agreement costs before the funding period?
FWS authorizes pre-agreement costs only if such costs:
(a) do not exceed the amount of the grant funds as awarded in the Agreement;
(b) are necessary to accomplish the objectives of the project by the end of the funding period;
(c) fund activities listed in the Proposal for accomplishment with grant funds;
(d) have not been incurred before the date that FWS receives the Proposal from the Recipient
(see Section F-2 for costs incurred in purchase of real property); and
(e) are allowable to the extent that they would have been allowed if they had been incurred
during the funding period.
By definition, pre-agreement costs occur before a signed Agreement, and therefore they are
incurred at the applicant’s risk. Upon completion of a signed Agreement, this section constitutes
prior written approval for any pre-agreement cost that qualifies under its provisions.
D-3
When must grant funds and matching contributions be obligated?
Grant funds and matching contributions must be obligated during the funding period, except any
eligible pre-agreement or match costs (See Sections D-2 and D-8) which may be obligated prior
to the funding period. A Recipient or subrecipient obligates funds (i.e., incurs costs) on the
earlier of placing an order, signing a contract, receiving goods or services, or carrying out similar
transactions during a given period that will require payment during the same or a future period
(not to exceed ninety days after the funding period). For acquisitions of a real property interest,
funds are considered obligated when costs are incurred at the time of closing/property settlement,
and title is taken. All matching cash and eligible in-kind contributions must be obligated for the
authorized purpose of the project by the end of the funding period.
D-4
Does the Recipient or subrecipient have to complete all the work on the project during the
funding period?
All obligations must be made and work must be accomplished during the funding period,
although cash does not necessarily have to be disbursed by the end of that time period. The
Recipient must liquidate all obligations and ensure that the Grant Officer receives a final report
no later than 90 days after the end of the funding period.
D-5
Is the use of matching contributions subject to the same requirements as the use of grant funds?
9
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
Unless otherwise specified in these Standards, both grant funds and matching contributions are
considered part of the project and subject to the same requirements.
D-6
What is allowable match for a NMBCA project in the United States?
For NMBCA project activities in the United States the matching contribution must be cash only.
Cash means the Recipient or subrecipient's cash outlay, including the outlay of money
contributed to the Recipient or subrecipient by third parties, to be expended after the date the
Proposal is submitted, and that complies with the applicable Federal Cost Principles in 2 CFR
Parts 220, 225, and 230. Matching cash must be contributed to or by a Recipient or subrecipient
to accomplish the purposes of the project. If money has been used to incur costs for project
purposes before the FWS receives the Proposal, it is considered in-kind rather than cash and will
not be eligible as match for projects in the United States.
D-7
If the Recipient or subrecipient generates match contributions in excess of the project’s approved
match-grant ratio, may this be used as match in a future grant?
For Standard Grant NAWCA projects only, match contributions in excess of the amount required
according to the match-grant ratio approved in the Grant Agreement is termed excess match.
Excess match may be used only in the second or third phase of a Programmatic project under the
following conditions:
(a) The excess match must accomplish more acquisition, restoration, or enhancement than
required by the Grant Agreement. (Spending more, but accomplishing the same as required in the
Grant Agreement, does not qualify as “excess” match. Additional spending due to unique
circumstances totally beyond the control of the Recipient or subrecipient, such as a natural
disaster, leading to unique efforts by the Recipient or subrecipient to accomplish project
objectives, may be considered on a case-by-case basis.)
(b) The excess match cannot result from cost overruns on activities required in the Grant
Agreement (but see D-7(a)) or from underestimated values on properties included in the Grant
Agreement; excess acreage cannot result from minor survey or rounding differences associated
with tracts included in the Grant Agreement.
(c) The subsequent phase must be substantively the same project area and type as the original
grant, so that if the excess match were included in the subsequent grant it would be eligible.
(d) The additional acres must be specified as “excess” in the documentation provided in reports
for the original NAWCA grant.
(e) All acres must be protected as part of the original NAWCA grant.
(f) The source and nature of the excess match must be identified in the subsequent phase of the
Programmatic grant and that phase of the project must be selected for funding as part of a
Programmatic project. If a subsequent project is selected for funding, but is not approved as a
Programmatic addition to a previous phase, the excess match remains part of the original project
and cannot be used for a separate, unrelated grant.
D-8
How old can matching in-kind contributions be?
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For NAWCA projects only, match providers may acquire real property, supplies, or services, or
provide the services of its own personnel for a proposed project back to the beginning of the
calendar year two years before the year in which FWS receives the Proposal.
D-9
What documentation is required to ensure compliance with Section 106 of the National Historic
Preservation Act for matching in-kind contributions (ineligible in NMBCA grants) acquired or
performed before the FWS receives a NAWCA proposal?
No advance documentation for Section 106 of the National Historic Preservation Act, as
implemented in 36 CFR, Part 800, is required for matching in-kind contributions acquired or
performed before the FWS receives a NAWCA proposal. However, if the Recipient or
subrecipient or match provider has disturbed or allowed the disturbance of a site that is subject to
NHPA, the FWS may disallow the use of that property in a NAWCA project or require the
Recipient to take other steps as appropriate to ameliorate the disturbance.
D-10 Are acquisition costs that are incurred before the FWS receives the Proposal and used as
matching in-kind contributions (ineligible in NMBCA grants) subject to the relocation assistance
and real property acquisition requirements of 49 CFR, Part 24?
Acquisition costs of matching in-kind contributions incurred before the FWS receives a NAWCA
proposal are not subject to the relocation assistance and real property acquisition requirements of
49 CFR, Part 24. However, costs for such matching property must still be allowable, reasonable,
and allocable, as required by 43 CFR, Part 12.
D-11 What constitutes satisfactory compliance with matching commitments?
At the end of the funding period, the matching contributions must at least equal the amount
committed to by the Recipient in the Grant Agreement.
D-12 Who may contribute matching cash or, for NAWCA only, in-kind contributions to a project?
All Recipients and their partners may contribute matching cash or, for NAWCA only, in-kind
contributions. Unless clearly identified as ‘non-Federal’ in Federal statute or other Federal legal
authority, funding that originates from a Federal source is considered non-match, even if it has
been awarded to or passed-through another entity.
D-13 What is program income?
Program income is income directly generated by any project activity, or earned as a result of the
Grant Agreement during the funding period. By definition, program income is that income
received by the grant Recipient itself, if the grant Recipient is an institution of higher education,
hospital, or other non-profit organization (43 CFR 12.902); or received by the Recipient or
subrecipient if the Recipient is a state or local government (43 CFR 12.65(b)).
D-14 Should “net” or “gross” income be used when calculating and reporting program income?
Either “net” or “gross” program income can be calculated and reported. If the Recipient chooses,
and if authorized by FWS, “net” program income may be determined by deducting the costs
necessary for the generation of program income from the gross program income, provided these
costs have not been charged to the award (43 CFR 12.65(c), 43 CFR 12.924(f)). It is the
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Recipient’s responsibility to identify these costs and how they are calculated. Total or “gross”
program income can be reported without additional calculations.
D-15 How may the Recipient use program income?
Federal regulations identify three ways to use program income: deduction, addition, and cost
sharing or matching (43 CFR 12.65(g), 12.924(b)).
(a) Unless otherwise specified, the Recipient must use the deductive method (subtracting the
program income from the amount awarded).
(b) If the Recipient desires, the Service will authorize the Recipient to use the additive method
(adding the program income to the funds committed to the Grant Agreement). The program
income must be used for the purposes and under the conditions of the Grant Agreement.
(c) DBHC will not authorize use of program income for cost sharing or matching purposes.
D-16 How is income generated outside the funding period handled?
Income generated by the Recipient outside of the funding period shall be retained by the
Recipient. FWS encourages Recipients to use generated funds to support wetland conservation
purposes consistent with the NAWCA program or to support neotropical migratory bird
conservation consistent with the NMBCA program.
D-17 What can the Recipient or subrecipient acquire using grant funds?
Grant funds may be used to acquire those things that are necessary for the purpose described in
the Grant Agreement and that are reasonable, allowable, and allocable as explained in the Cost
Principles and NAWCA or NMBCA application instructions, and eligibility criteria
D-18 If a project involves easement acquisition during the project period, is FWS approval required
before grant funds may be drawn?
FWS must approve in writing the language of a conservation easement before grant funds may be
used for its purchase or associated match funds may be applied to the project. Executed or
negotiated draft easements that were reviewed and accepted during the proposal review process
are considered approved and do not require additional approval unless modified. Template
easements submitted with proposals are not considered approved. Recipients must obtain
additional approval for any changes to previously approved language in an easement. Easements
without FWS approval may be disallowed as grant or match activities.
D-19 Are indirect costs, facilities costs, and direct overhead and administrative costs allowable?
These costs are allowable for both grant funds and matching funds. These costs must be
calculated by an acceptable method including negotiated indirect cost rate, directly charged
administrative costs, or direct allocation method.
D-20 What is required for the Recipient to receive Federal funds?
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(a) In order to receive Federal funds, the Recipient must register with the Federal Central
Contractor Registration at https://www.bpn.gov/ccr/default.aspx. Recipients must maintain their
registration annually.
(b) The Recipient must be able to request advance payment and reimbursement and receive
Federal funds through the through the Automated Standard Application for Payments (ASAP)
system, an electronic funds transfer process administered by the U.S. Department of the Treasury.
D-21 What funds must be spent before the Recipient may draw down grant funds?
The following forms of funds must be spent before drawing down grant funds: program income,
rebates, refunds, contract settlements, audit recoveries and interest earned on such funds.
D-22 Must the Recipient deposit Federal cash advances in interest-bearing accounts separate from other
funds?
The Recipient must deposit Federal cash advances in interest bearing accounts unless (a), (b), or
(c) apply:
(a) The Recipient receives less than $120,000 in Federal assistance awards per year.
(b) The best reasonably available interest bearing account would not be expected to earn interest
in excess of $250 per year.
(c) The depository would require an average or minimum balance so high that it would not be
feasible with the expected Federal and non-Federal cash resources.
These requirements may not apply to States, State universities and hospitals, federally recognized
Tribes, and local governments. (See 43 CFR 12.61)
When depositing Federal cash advances in an interest-bearing account, separate depository
accounts are not required, but Recipients must be able to account for the receipt, obligation,
expenditure of and interest on the funds.
D-23 May the Recipient keep the interest earned on Federal cash advances?
The Recipient’s status determines whether or not earned interest may be kept. For this purpose, a
Recipient’s belongs in one of three categories: State government, Tribal or local government, and
all others.
(a) States are not required to deposit Federal cash advances in an interest-bearing account. States
that are not subject to a Treasury-State agreement have no interest liability to the Federal
government whether or not they earn interest on Federal cash advances. However, if a TreasuryState agreement is in place, States incur an interest liability from the day Federal funds are
credited to the account to the day funds are disbursed for the project or credited to a Federal
Government account as a refund, whether or not they deposit their Federal grant funds in interestbearing accounts.
(b) Federally-recognized Tribal Recipients and local government Recipients are not required to
deposit Federal cash advances in an interest-bearing account. They may retain interest amounts
up to $100 per year for administrative expenses, if they do deposit funds in an interest bearing
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account. Interest on Federal cash advances above $100 must be remitted promptly, but at least
quarterly, to the FWS.
(c) All others may retain up to $250 of interest earned annually on Federal cash advances. The
amount retained may be used for administrative expenses. Interest on Federal cash advances
above $250 must be remitted promptly, but at least quarterly, to the FWS.
D-24
How long does a Recipient have to disburse or refund money obtained as a Federal cash advance?
(a) When Federal cash advances are made by electronic transfer of funds methods, the Recipient
must draw down grant funds as close as possible to the time of making disbursements. The only
exceptions are when the funds involved will be disbursed by the Recipient within seven calendar
days, or are less than $10,000 and will be disbursed within 30 calendar days.
(b) If a Recipient draws down funds but is unable to disburse them as required in D-24(a), the
Recipient must return those funds to FWS as soon as possible.
E. EQUIPMENT AND SUPPLIES
E-1
May the Recipient or subrecipient purchase and manage equipment with grant or match funds?
Yes, the Recipient or subrecipient may purchase and manage equipment acquired under a Grant
Agreement in accordance with the applicable cost principles. Title to all equipment acquired for
the project will vest in the Recipient or subrecipient.
The Recipient or subrecipient may use the equipment acquired for the project as long as needed
whether or not the project continues to be supported by Federal funds. While the equipment is
used for the project, the Recipient or subrecipient must make it available for use on other projects
or programs currently or previously supported by the Federal government if such other use will
not interfere with the work on the project for which the equipment was originally acquired.
E-2
May the Recipient or subrecipient replace and dispose of equipment obtained with grant funds?
The rules for replacing or disposing equipment obtained with grant funds vary according to
Recipient or subrecipient status. A State may replace and dispose of equipment acquired under a
Grant Agreement as required by its own laws and procedures. For all others, when original or
replacement equipment acquired with grant funds is no longer needed for the original project or
for other activities currently or previously supported by a Federal agency, equipment disposition
will be as follows:
(a) Equipment with a current market value of less than $5,000 may be retained, sold, or otherwise
disposed of with no further obligation to the FWS.
(b) Equipment with a current market value in excess of $5,000 may be retained or sold and the
FWS will have a right to an amount calculated by applying the percentage of Federal
participation in the cost of the original project to the current market value of the equipment.
(c) In cases where a Recipient or subrecipient fails to take appropriate disposition actions, the
FWS may direct the Recipient or subrecipient regarding required actions. In such cases, the FWS
reserves the right to transfer title to the Federal Government or a third party of its choosing, when
such a third party is otherwise eligible under existing statutes.
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E-3
How often must the Recipient or subrecipient inventory equipment?
A State may inventory equipment acquired under a grant according to its own laws and
procedures. Every other Recipient or subrecipient must take a physical inventory of equipment
acquired with grant or match funds or received as a matching in-kind contribution immediately
prior to submitting the final performance report and at least once every two years thereafter.
E-4
May the Recipient or subrecipient dispose of supplies and other expendable property purchased
with grant or matching funds?
If the residual inventory of unused supplies is worth less than $5000, these items belong to the
Recipient or subrecipient who may choose how to dispose of them. However, at the termination
or completion of the project, if there is a residual inventory of unused supplies which in aggregate
is worth $5,000 or more, and is not needed for any other federally sponsored project or program,
the Recipient or subrecipient may either retain the supplies or sell them, but in either case must
compensate the Federal government for its share.
F. REAL PROPERTY ACQUISITION
F-1
What real property acquisition costs may be paid with grant or matching funds?
Federal grant or matching funds may be used to pay for the following costs of acquiring real
property:
(a) the market value of the interest in real property;
(b) real property valuation, appraisals, appraisal reviews, and relocation expenses (if qualified and
required under 49 CFR, part 24);
(c) title insurance (types and extent of coverage must be in accordance with sound business
practice and the rates and premiums must be reasonable under the circumstances);
(d) costs of compliance with the National Environmental Policy Act, the Endangered Species Act,
and the National Historic Preservation Act;
(e) recording fees, transfer taxes, documentary stamps, evidence of title, boundary surveys, legal
descriptions of the real property, and similar expenses incidental to conveying the real property to
the Recipient or subrecipient (the Recipient or subrecipient may not use grant or match funds to
pay costs solely required to perfect the owner’s title to the real property);
(f) penalty costs and other charges for prepayment of any preexisting recorded mortgage entered
into in good faith encumbering the real property; and
(g) the pro-rata portion of any prepaid real property taxes which are allocable to the period after
the grant Recipient or subrecipient obtains title to the property or effective possession of it,
whichever is earlier (taxes for which exemptions are available are unallowable).
F-2
When does the Recipient or subrecipient incur the costs of acquiring real property?
Costs are incurred at the time of transfer of title. The grantee’s contractual obligation to purchase
real property does not constitute a cost incurred by the Federal government. A contractual
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obligation to purchase real property (purchase agreement, etc.) may be made at any time and, as
long as title is transferred after the Proposal is received by the FWS, the costs associated with the
purchase can be reimbursed with grant funds. However, if title is transferred before the FWS
received the Proposal, costs associated with the purchase may only be used as match, and cannot
be reimbursed with grant funds. Any obligation to purchase property before Federal grant funds
are obligated is made at the Recipient or subrecipient’s risk. No matter when an obligation is
signed, all purchases of real property must comply with all applicable Federal regulations,
including but not limited to requirements specified in this section (F).
F-3
Must conservation easements be approved by FWS before finalization and acquisition?
FWS must approve in writing the language of a conservation easement before grant funds may be
used for its purchase or associated match funds may be applied to the project. Executed or
negotiated draft easements that were reviewed and accepted during the proposal review process
are considered approved and do not require additional approval unless modified. Template
easements submitted with proposals are not considered approved. Recipients must obtain
additional approval for any changes to previously approved language in an easement. Easements
without FWS approval may be disallowed as grant or match activities.
F-4
May condemnation proceedings be used to purchase lands in NAWCA or NMBCA projects?
All real property interests acquired as part of a NAWCA or NMBCA project, whether funded by
grant funds or as match, must be from willing sellers. Condemnation proceedings may be used
only when necessary to assist in determining the legal owner.
F-5
What notice must be provided to a seller?
Prior to making an offer for the property, the buyer must inform the seller that the buyer will be
unable to acquire the property in the event negotiations fail to result in an amicable agreement
(i.e., that the buyer does not have condemnation or eminent domain authority), and must inform
the seller what the buyer believes to be the market value of the property.
If the buyer is an agency that has eminent domain authority, but the acquisition is voluntary, then
two additional assurances must be included in the notice: (1) no specific site or property needs to
be acquired, although the agency may limit its search for alternative sites to a general geographic
area (where an agency wishes to purchase more than one site within a geographic area on this
basis, all owners are to be treated similarly); and (2) the property to be acquired is not part of an
intended, planned, or designated project area where all or substantially all of the property within
the area is to be acquired within specific time limits.
This requirement does not apply to matching real property acquired prior to the receipt of the
Proposal by the FWS (ineligible for NMBCA).
F-6
What if the Recipient or subrecipient fails to provide the required notice?
If the seller is not notified as required in Section F-5 above, the buyer must:
(a) pay any relocation benefits for which the landowner is eligible,
(b) pay any qualifying expenses incidental to transfer, and
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(c) comply with all other provisions of 49 CFR, part 24, that apply.
This requirement does not apply to matching real property acquired prior to the receipt of the
Proposal by the FWS (ineligible for NMBCA).
F-7
Are appraisals required?
Appraisals are required unless one of the following exceptions apply: (1) the market value is
estimated to be less than $10,000, and appropriate documentation is provided showing that this
valuation is reasonable and uncomplicated; or (2) there is an alternative valuation formula
authorized by Federal law, regulation, or FWS policy, as for specific categories of properties. An
approved alternative valuation process is currently applicable to FWS grassland and wetland
easements in the prairie pothole region of the United States.
If the buyer obtains an appraisal even though the market value is $10,000 or less, it must be used
as the sole determinant of market value unless the Recipient or subrecipient can conclusively
demonstrate that it is not accurate. Whatever method is used to determine value, the valuation
must be certified by the Recipient or subrecipient. The Grant Officer may require the Recipient
or subrecipient to submit additional documentation if he or she finds any informal determination
of market value to be insufficient or does not concur with the analysis and conclusions.
Regardless of the method of real property valuation, the date of the valuation must be within 12
months of the buyer’s contractual obligation to purchase property or of the title transfer,
whichever establishes the purchase price. The FWS may require the Recipient or subrecipient to
secure an updated valuation if a material change occurs in the local real estate market, the
character or condition of the property, or its surroundings between the effective date of the
valuation and the date of the transfer of title to the Recipient or subrecipient.
F-8
What constitutes an acceptable appraisal?
Any appraisal must conform to the Uniform Standards of Professional Appraisal Practice
(USPAP) and be completed by a state-certified appraiser. The appraisal must provide valuation
of the specific interests being included in the project.
F-9
Must appraisals be reviewed?
Recipients or subrecipients must have each appraisal reviewed by a state-certified review
appraiser. Appraisals for both match (all types, old match, in-kind, etc.) and grant tracts must be
reviewed. FWS reserves the right to have any appraisal additionally reviewed for land acquired as
part of a grant.
F-10
Must the Recipient or subrecipient pay market value for real property?
The Recipient or subrecipient must pay at least market value for any real property interest, unless
the Recipient or subrecipient provides documentation of a bargain sale with a signed statement
from the seller that donates or willingly forgoes any difference between the market value and the
selling price.
In order to claim the difference between the sale price and market value as match, the seller must
explicitly donate the value to the project or the partner (willing seller notice alone is insufficient).
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If the Recipient pays more than the market value, the excess amount may not be paid with grant
funds or used as match.
F-11 May the Recipient or subrecipient purchase real property subject to leases or occupied by tenants?
The Recipient or subrecipient may purchase real property subject to leases or occupied by
tenants. Other than matching real property acquired prior to the receipt of the Proposal by the
FWS (ineligible for NMBCA), however, such purchases are subject to relocation assistance
requirements as described in 49 CFR, Part 24. The relocation assistance requirements apply only
to tenants that must move as a result of the acquisition, unless the Recipient or subrecipient fails
to meet the requirements in Section F-5.
F-12 Do relocation requirements apply if the price is set before the FWS receives the Proposal, but the
title is transferred after the FWS receives the Proposal?
The relocation requirements of 49 CFR, Part 24, apply to any transfers of title that are completed
after the Proposal is received by FWS, regardless of when the price associated with the transfer is
established.
F-13 What documents must be submitted when acquiring an interest in real property?
The Recipient or subrecipient must submit the following documents for each interest in real
property purchased with grant or match funds, or provided as a matching in-kind contribution:
(a) appropriate evidence of valuation of real property. If an appraisal is used, send the appraiser’s
signed certification and the appraisal summary, and the signed summary and certification pages
of an appraisal review;
(b) documentation that the seller has been informed that the buyer will be unable to acquire the
property in the event negotiations fail to result in an amicable agreement (i.e., that the buyer does
not have condemnation or eminent domain authority), and informs the seller of what the buyer
believes to be the market value of the property;
(c) documentation of a bargain sale through a signed statement from a seller that donates or
willingly forgoes any difference between the market value and the selling price, if the sale price is
below market value;
(d) a copy of the closing statement (also called the settlement statement or adjustment sheet) or
other evidence of funds transferred;
(e) a copy of any deed, easement, or assignment of lease that transfers ownership to the Recipient
or subrecipient or match provider, as well as any subsequent owner as provided in the Grant
Agreement (copies must demonstrate that the documents were recorded);
(f) either (1) a statement certifying that the real property acquired had no tenants, or (2) a copy of
a notice of relocation eligibility as required in 49 CFR 24.203 and a statement certifying that the
Recipient or subrecipient provided tenants with relocation assistance advice and relocation
assistance as required in 49 CFR, part 24, with an itemized breakdown of any relocation
payments made to the tenant; and
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(g) copies of recorded Notices of Grant Requirements (NOGR) for all interests in real property
acquired for the project including those interests received as matching in-kind contributions. If
the required language of a NOGR is included in the deed, easement, lease or other recorded
conveyance document for a specific interest in real property, such language may substitute for a
Notice of Grant Requirements.
Items (b) and (f) do not apply to matching real property acquired prior to the receipt of the
Proposal by the FWS (ineligible for NMBCA).
F-14 What recorded notices are required for real property included in a project?
The Recipient or subrecipient must ensure that Notices of Grant Requirements are recorded for all
interests in real property acquired in perpetuity or for terms longer than 10 years unless
equivalent provisions were entered in the deed, easement, or assignment of lease. The NOGR
must include all of the following elements:
(a) identification of the legal interest being encumbered;
(b) name of the FWS grant program (NAWCA or NMBCA), name and number of FWS Grant
Agreement, and locations where copies of the Agreement are stored;
(c) summary of the project purpose as described in the Proposal;
(d) confirmation of the obligations to manage the property in accordance with the Grant
Agreement and to obtain FWS consent and/or instructions before disposition, conveyance, or
encumbrance of any part of the interest included in the project.
In addition, if the real property interest is located in a county or state where encumbrances (e.g.,
easement) on real property automatically expire after a certain period, the NOGR must include a
provision requiring re-recording of the encumbrance and/or the NOGR before the project
property interests expire. A sample NOGR template is included in Appendix C.
F-15 Can the Recipient or subrecipient be reimbursed with grant funds if title is transferred before the
FWS receives the Proposal?
The FWS will not reimburse the Recipient or subrecipient for the purchase of real property if title
is transferred before the FWS receives the Proposal. At its own risk, however, the Recipient or
subrecipient may contractually commit to purchasing property before the FWS receives the
Proposal, purchase the property after the Proposal is submitted, and be reimbursed by grant funds
after the Grant Agreement is signed.
F-16 Must the Recipient or subrecipient record deeds, leases, easements or other conveyance
documents?
Regardless of whether it is required by the applicable State, the Recipient or subrecipient must
ensure that all deeds, easements with a term 10 years or longer, and assignments of leases with a
term 10 years or longer are recorded with reference to a deed or other real-property-conveyance
instrument in the county, parish, borough, or other local office that maintains the records
affecting title to real property in that jurisdiction (referred to as recorder’s office, registrar of
deeds office, commissioner of deeds office, bureau of conveyances, or similar title).
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F-17 Can the Recipient or subrecipient obtain a waiver of these land acquisition requirements?
Subject to the specific conditions defined in 49 CFR, Part 24, in extreme circumstances certain
real property acquisitions may be waived. These waivers will be granted on a case-by-case basis
at the discretion of the Grant Officer, and will apply only to the project for which the waiver is
requested.
G. PROPERTY MANAGEMENT
G-1
Does the Recipient or subrecipient have continuing obligations to manage property acquired
through a Grant Agreement?
A Recipient or other authorized titleholder of real property acquired through a Grant Agreement
must manage any interests in real property acquired under that Agreement consistent with the
project’s purpose as long as the interests in real property are needed for that purpose. This is
required regardless of whether the interests in real property were acquired with grant or matching
funds or contributed as a matching in-kind contribution (ineligible for NMBCA).
G-2
May the Recipient or subrecipient encumber, sell, or transfer some or all of the interests in real
property acquired through a Grant Agreement?
Except as specified in the Proposal, the Recipient or other authorized titleholder of interests in
real property acquired with Federal grant or matching funds or as a matching in-kind contribution
(ineligible for NMBCA) may not encumber, sell, or otherwise transfer the interest in real
property, or any part of the same, without the approval of FWS. However, if the interest in the
real property is an easement or a lease with a term that is less than perpetual, the obligation to
seek FWS permission will end with the expiration of the term of the easement or lease.
If a property is no longer needed for the purposes of the project, the Recipient shall request
disposition instructions from the FWS Grant Officer. The Grant Officer will give one or more
disposition instructions in accordance with 43 CFR part 12.932 (c) 1,2,3 and 49 CFR part 18.31
(c) 1,2,3. If the Recipient sells, transfers, conveys, or encumbers any real property interest
included in the project, (even if the interest remains part of the project) an attributable share may
be owed to FWS.
G-3
For real property restored or enhanced under a Grant Agreement, how must the Recipient or
subrecipient manage the property?
The Recipient or other authorized titleholder must manage restored or enhanced real property
consistent with the purpose authorized by the Grant Agreement. This requirement pertains to all
interests in real property that were restored or enhanced with Federal grant or matching funds or
received as match (NAWCA only). The Recipient or other authorized titleholder may propose
that the interest in real property is no longer needed for the project’s authorized purpose.
However, the Recipient or other authorized titleholder is prohibited from managing the property
in a manner that interferes with the authorized project purpose unless it obtains written
permission to do so from the FWS.
G-4
How long must the Recipient or subrecipient manage restored or enhanced real property for the
project purposes?
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The Recipient or authorized titleholder must manage restored or enhanced real property for the
time period the Proposal identifies for project benefits (for NAWCA, the described contributions
to long-term conservation of wetlands and associated habitats). If no time period was specified in
the Proposal, the Recipient or authorized titleholder must manage the property for 25 years from
the date that the Grant Officer receives acceptable final performance and financial reports. This
period may be shorter than 25 years if limited by easements, leases, or other special
considerations approved by the Grant Officer. During the required management period, a
Recipient must ensure that the real property is available for site-inspection by the FWS or its
designee to ensure that it is managed consistent with the authorized project purposes.
H. MODIFICATIONS
H-1
Must the Recipient or subrecipient receive prior approval to depart from what is specified in the
Grant Agreement?
The Recipient or subrecipient must obtain the prior written approval of the Grant Officer in any
of the following situations:
(a) changes in the purpose and scope of the project;
(b) any extension of the funding period after the first extension (first extensions require only
written notification to the Grant Officer at least 10 days in advance with the supporting reasons
and a revised expiration date no more than 12 months in the future);
(c) additions to, deletions from, or substitutions for the specific sites targeted for acquisition,
habitat restoration, habitat enhancement, or habitat establishment unless the Proposal was
approved without such sites being designated;
(d) initial identification of the specific sites which will be acquired, restored, enhanced, or
established where such parcels or interests were not identified in the Proposal;
(e) changes to the boundaries of the area within which sites will be selected for acquisition,
restoration, enhancement, or establishment (project area);
(f) changes in the restoration, enhancement, or wetland establishment techniques or
specifications (e.g., the species or the number of seedlings to be planted);
(g) changes in the proposed titleholder of any interests in real property purchased, donated
(NAWCA only), or otherwise acquired for the project;
(h) any decrease in the number of acres acquired, restored, enhanced or established as described
in the Grant Agreement, other than de minimis changes due to survey error;
(i) any decrease in the number of years of benefit to acres acquired, restored, enhanced or
established as described in the Grant Agreement;
(j) any decrease in the total amount of matching contributions committed to the project;
(k) the inclusion of costs that require prior approval in accordance with the applicable Federal
Cost Principles;
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(l) the transfer of funds from a direct cost category to indirect costs or the transfer of funds from
construction to non-construction, or vice versa; or
(m) addition of match partners to the project.
H-2
May the Recipient extend the funding period?
(a) Any Recipient may receive an initial extension of the expiration date of the award of up to 12
months unless one of the following conditions apply:
(1) The terms and conditions of Grant Agreement prohibit the extension;
(2) The extension requires additional Federal funds; or
(3) The extension involves any change in the purpose or scope of the project.
Extensions may not be exercised merely for the purpose of using unobligated balances that are
not necessary for the completion of the project.
(b) A Recipient may be given an additional extension of up to 12 months only if sufficiently
compelling reasons are provided. In general, rationale for any extension must include
confirmation that the project will still succeed, that the to-date failure is no fault of the Recipient,
and that the extension will result in a benefit to the federal government.
H-3
How does the Recipient obtain an extension?
In order to obtain an extension, the Recipient must notify the Grant Officer in writing with the
supporting reasons and revised expiration date at least 10 days before the expiration date
specified in the Grant Agreement.
I. NONCOMPLIANCE
I-1
What constitutes noncompliance with the Grant Agreement?
Any instance of a failure to comply with one or more of the terms and conditions of the Grant
Agreement, including any approved modification of the Grant Agreement, constitutes
noncompliance.
I-2
What considerations are used to evaluate noncompliance with the Grant Agreement?
Before determining the consequences, an instance of noncompliance will be evaluated by the
Grant Officer based on the following considerations:
(a) whether the noncompliance is deemed to be intentional or repeated;
(b) the impact on natural resources;
(c) the impact on the project and associated Federally-assisted projects;
(d) the impact on project partners;
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(e) the impact on the buyers or sellers of real property interests that are part of, or affected by, the
project;
(f) the need for immediate action to protect the public’s interest;
(g) the harm or benefit to the Federal government; and
(h) whether there are mitigating factors.
I-3
What are the potential consequences of noncompliance with the Grant Agreement?
After having taken into account the considerations described in Section I-2, the Grant Officer
may apply one or more of the following remedies as a consequence of noncompliance with the
Grant Agreement:
(a) temporarily withhold cash payments pending correction of the noncompliance;
(b) disallow (that is, deny both use of grant funds and any applicable matching credit for) all or
part of the cost of the project not in compliance;
(c) wholly or partly suspend or terminate the current Grant Agreement;
(d) reduce the federal share of costs after the final reports are received;
(e) withhold further Grant Agreements for the project or Recipient;
(f) place the Recipient on a list of recipients that did not fulfill the commitments of a NAWCA or
NMBCA Grant Agreement;
(g) impose special administrative conditions during the funding period;
(h) take other remedies that may be legally available; or
(i) initiate procedures for suspension or debarment of a Recipient or subrecipient from Federal
financial and non-financial assistance and benefits.
I-4
What are the grounds for imposition of special administrative conditions during the funding
period?
Special administrative conditions during the funding period may be imposed by the Grant Officer
if the Recipient meets one or more of the following criteria:
(a) has a history of unsatisfactory performance;
(b) is not financially stable;
(c) has a management system that does not meet the standards prescribed in 43 CFR, part 12;
(d) has failed to comply with the terms and conditions of a previous Grant Agreement;
(e) is in noncompliance with the terms of the current Grant Agreement; or
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(f) is not otherwise responsible.
I-5
What special administrative conditions may be imposed during the funding period?
If appropriate grounds exist to impose special administration conditions during the funding
period, the Grant Officer may apply any of the following conditions:
(a) allow only reimbursement of funds (allow no funds to be advanced);
(b) withhold authority to proceed to the next phase of the project until receipt of evidence of
acceptable performance within a given funding period;
(c) require additional or more detailed financial reporting;
(d) require additional project monitoring;
(e) require the Recipient to obtain technical or management assistance; or
(f) require that prior approval be obtained from the Grant Officer before implementing one of
more aspects of the project or Grant Agreement.
I-6
What are the grounds for debarment and suspension of a Recipient or subrecipient from Federal
financial and non-financial assistance and benefits?
Debarment or suspension may be imposed, through appropriate regulatory methods, as a
consequence of any of the following circumstances:
(a) Indictment for or conviction of, civil judgment, or other official findings for:
(1) commission of fraud or a criminal offense in connection with obtaining, attempting to
obtain, or performing a public or private agreement or transaction;
(2) violation of Federal or State antitrust statutes, including those proscribing price fixing
between competitors, allocation of customers between competitors, and bid rigging;
(3) commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, receiving stolen property, making false claims, or
obstruction of justice; or
(4) commission of any other offense indicating a lack of business integrity or business
honesty that seriously and directly affects the present responsibility of a person.
(b) Violation of the terms of a public agreement or transaction so serious as to affect the integrity
of an agency program, such as
(1) a willful failure to perform in accordance with the terms of one or more public
agreements or transactions;
(2) a history of failure to perform or of unsatisfactory performance of one or more public
agreements or transactions;
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(3) a willful violation of a statutory or regulatory provision or requirement applicable to a
public agreement or transaction.
(c) Any of the following causes:
(1) a non-procurement debarment by any Federal agency taken before October 1, 1988,
or a procurement debarment by any Federal agency taken pursuant to 48 CFR subpart
9.4;
(2) knowingly doing business with a debarred, suspended, ineligible, or voluntarily
excluded person, in connection with a covered transaction, except as permitted in 43 CFR
12.215 or 43 CFR 12.220;
(3) failure to pay a single substantial debt, or a number of outstanding debts (including
disallowed costs and overpayments, but not including sums owed the Federal
Government under the Internal Revenue Code) owed to any Federal agency or
instrumentality, provided the debt is uncontested by the debtor, or if contested, provided
that the debtor’s legal and administrative remedies have been exhausted;
(4) violation of a material provision of a voluntary exclusion agreement entered into
under 43 CFR 12.315 or of any settlement of a debarment or suspension action; or
(5) violation of any requirements of the drug-free workplace requirements for grants,
relating to providing a drug-free workplace, as set forth in 43 CFR 12.615.
(d) Any other cause of so serious or compelling a nature that it affects the present responsibility
of a person.
I-7
What happens if the Recipient does not submit a Financial Status Report or a Performance Report
by the due date?
Failure to submit a timely report constitutes noncompliance with the Grant Agreement and can
result, after notification by FWS, in consequences described in Section I-3.
I-8
What are the penalties for an unpaid debt to the FWS?
Unless otherwise established in a Treasury-State agreement, contract, repayment agreement, or by
statute, the FWS will charge a penalty, pursuant to 31 U.S.C. 3717(e)(2), not to exceed six
percent a year on the amount due on a debt that is delinquent for more than 90 days. This charge
will accrue from the date of delinquency, which will generally be 30 days from the date that the
demand letter is mailed or hand delivered.
J. AUDITS AND MONITORING
J-1
Must the Recipient or subrecipient arrange for an annual audit of project expenditures?
Recipient or subrecipients must have a single or program-specific audit if they expend $500,000
or more in a year in Federal awards and are agencies or instrumentalities of States, Federallyrecognized Tribes, or local government, or nonprofit institutions of higher education, nonprofit
hospitals, or other nonprofit organizations. The audit must be conducted by an independent
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auditor for that year; it must be in accordance with OMB Circular A-133, “Audits of States, Local
Governments, and Non-Profit Organizations”; and Form SF-SAC and the Single Audit reporting
package must be submitted on-line using the Federal Audit Clearinghouse’s Internet Data Entry
System
J-2
May the FWS conduct its own audit of a NAWCA- or NMBCA-funded project?
The FWS, the Inspector General, Comptroller General of the United States, or any of their duly
authorized representatives have the right of timely and unrestricted access to any books,
documents, papers, or other records of Recipient or subrecipients that are pertinent to the awards,
in order to make audits, examinations, excerpts, transcripts and copies of such documents. In the
case of Recipient or subrecipients that are institutions of higher education, hospitals, and other
nonprofit organizations, this right also includes timely and reasonable access to a Recipient or
subrecipient's personnel for the purpose of interview and discussion related to such documents.
For all Recipient or subrecipients, the rights of access in this paragraph are not limited to the
required retention period for records, but will last as long as any records on the project are
retained by the Recipient or subrecipient or the FWS.
J-3
Does the FWS have the authority to inspect and monitor real property, equipment, and supplies
acquired, habitat restored or enhanced, or wetlands established?
The Grant Officer and other FWS personnel may inspect and monitor real property, equipment, or
supplies acquired as part of the Grant Agreement, habitat restored or enhanced under the Grant
Agreement, or wetlands established through the Grant Agreement. The purpose of such
inspections will be to insure that the real property, equipment, supplies, or habitat is being used or
managed for the authorized purpose, and consistent with the terms, of the Grant Agreement. The
rights of access to real property, equipment, or supplies acquired as part of the Grant Agreement
will terminate:
(a) once the real property, equipment, or supplies have been legally disposed of;
(b) when the FWS has approved a request that such real property, equipment, or supplies will no
longer be used for the authorized purpose of the Grant Agreement; or
(c) when the management term as defined in the Grant Agreement expires, regarding leases,
easement, restoration, enhancement, and wetland establishment actions.
J-4
Is the Recipient responsible for documenting all reported grant and match activities?
The Recipient must have access to thorough records of all project grant and match expenditures
included in the final report, and supporting documentation for those expenditures. Accounting
records for in-kind match must show how the value match value was derived (i.e., hours of
volunteer time contributed at what rate; hours of personnel time donated at what rate, meeting
space, etc.). Recipient must also have access to complete records substantiating compliance with
any applicable Federal or program level financial, administrative, and property requirements. If
requested by FWS, Recipient must make these records available for review.
Any grant or match activity that is not supported by adequate documentation may be disallowed
by the Grant Officer.
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Appendix A
Certifications and Assurances
Through acceptance of the award, in addition to the assurances appended to Standard Form 424, the Recipient’s
Authorized Representative certifies to the best of his or her knowledge and belief that:
A. Certification Regarding Proposal Submission The award is for the support and stimulation of the recipient’s
project; that the request for financial assistance and the related proposal have not been submitted in response to
a request from the Government to undertake work to support a specific Government project; and that the
proposal has been prepared without the assistance and/or input of Federal personnel. However, this statement
excludes the general technical assistance provided by FWS staff to all applicants and grantees as needed or
requested.
B. Certification Regarding Conflict of Interest There are no relevant facts or circumstances which could give rise
to an individual or organizational conflict of interest. Such conflict of interest could involve such things as
Government employees being associated with or being a member of the requesting organization and being in a
position to influence the awarding of a Grant Agreement. The Recipient agrees that if an actual or potential
conflict of interest is discovered, the Recipient shall make a full disclosure in writing to the Service Program
Officer. This disclosure shall include a description of actions, which the Recipient has taken or proposes to
take, after consultation with the Service Program Officer, to avoid, mitigate or neutralize the actual or potential
conflict.
C. Certification Regarding Debarment, Suspension, and Other Responsibility Matters (DI-2010 June 1995)
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it, its principals and
lower tier participants:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded by any Federal department or agency;
(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to
obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity
(Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this
certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more public
transactions (Federal, State or local) terminated for cause or default.
(2) Where the prospective primary or lower tier participant is unable to certify to any of the statements in this
certification, such prospective participant(s) shall attach an explanation to this proposal and send it to the FWS
Program Officer.
D. Certification Regarding Lobbying (DI-2010 June 1995) [applicable if award exceeds $100,000]
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, 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, of 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
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any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated 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 this Federal contract,
grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL,
“Disclosure Form to Report Lobbying,” in accordance with its instructions.
(3) The language of this certification shall be included in the award documents for all subawards at all tiers
(including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and all
subrecipients shall certify accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by Section 1352, title 31 U.S. Code. Any person who fails to file the required certification
shall be subjected to a civil penalty of not less than $10,000 and not more than $100,000.00 for each such
failure.
E. Certification Regarding Drug-Free Workplace Requirements
(1) For Recipients other than individuals, the Recipient certifies that it will or continue to provide a drug-free
workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the Recipient’s workplace and specifying the
actions that will be taken against employees for violation of such prohibition;
(b) Establishing an on-going drug-free awareness program to inform employees about—
(i) The dangers of drug abuse in the workplace;
(ii) The Recipient’s policy of maintaining a drug-free workplace;
(iii) Any available drug counseling, rehabilitation, and employee assistance programs; and
(iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a
copy of the statement required by paragraph (a);
(d)Notifying the employee in the statement required by paragraph (a) that, as a condition of employment
under the grant, the employee will—
(i) Abide by the terms of the statement; and
(ii) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute
occurring in the workplace no later than five calendar days after such conviction;
(e)Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph
(d)(ii) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted
employees must provide notice, including position title, to every grant officer on whose grant activity the
convicted employee was working, unless the Federal agency has designated a central point for the recipient of
such notices. Notice shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
(d)(ii), with respect to any employee who is so convicted—
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(i) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(ii) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes be a Federal, State, or local health, law enforcement, or other
appropriate agency;
(g)Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs (a), (b), (c), (d), (e) and (f).
(1) For grantees who are individuals, the Recipient certifies that
(a)As a condition of the grant, he or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in conducting any activity with the grant;
(b)If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any
grant activity, he or she will report the conviction, in writing, within 10 calendar days of the conviction, to the
grant officer or other designee, unless the Federal agency designates a central point for the receipt of such
notices. When notice is made to such a central point, it shall include the identification number(s) of each
affected grant.
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Appendix B
Definitions
These definitions are for the purpose of these Standards as applied to the NAWCA and NMBCA Grants Programs.
Many of the terms are also defined in the statutes, regulations, and OMB Circulars applicable to Federal Assistance,
and some of these are repeated verbatim below for convenience. Some, however, are clarified for the context of the
NAWCA and NMBCA Grants Programs. Others are technical terms that are not defined in any of the applicable
laws or regulations. Still others are acronyms or common words with specific meaning in the context of the
Standards.
Acquisition means the voluntary purchase, donation, or transfer of any or all of a real property interest by means of
a written deed, easement, lease assignment, or other legal instrument.
Allocable means capable of being distributed to a grant in accordance with the relative benefits received. An
expenditure is allocable to a grant if it is treated consistently with other costs incurred for the same purpose in like
circumstances. It must also meet one of the following criteria:
(a) it is incurred specifically for the award;
(b) it benefits both the award and other work and can be distributed in reasonable proportion to the benefits
received; or
(c) it is necessary to the overall operation of the organization although a direct relationship to any particular cost
objective cannot be shown.
Any cost allocable to a particular award or other cost objective under these principles may not be shifted to other
Federal awards to overcome funding deficiencies, or to avoid restrictions imposed by law or by the terms of the
award.
Applicant is any entity that has applied for a NAWCA or NMBCA grant by submitting a Proposal.
ASAP is the Automated Standard Application for Payments, a Department of Treasury electronic funds transfer
system which allows grantee organizations receiving Federal funds to draw from accounts pre-authorized by federal
agencies.
Award means Federal financial assistance to an eligible recipient for the purpose of providing support or stimulation
to accomplish a public purpose. An award occurs when an authorized representative of the FWS signs the Notice of
Award.
Bargain sale is a voluntary transfer of some interest in real property for less than the market value of that interest.
Buyer means (for purposes of land acquisition under a NAWCA grant) the entity that is purchasing some or all of
the interests or rights in a specific tract of land.
CCR means the Central Contractor Registration (ccr.gov), which is the primary vendor database for the U.S. federal
government.
CFR means the Code of Federal Regulations.
Construction means the erection, assembly, installation, alteration, demolition, destruction, removal, or repair
(including dredging, excavating, and painting) of buildings, structures, and other improvements of real property of
all types. Land acquisition and land development are also classified as construction. Almost all restoration,
enhancement, and wetland establishment activities in a NAWCA- or NMBCA-funded project result in soil
disturbance, either directly or indirectly, and can be categorized as conservation-oriented construction.
Cooperative agreement , like a grant, is a legal instrument documenting the relationship between the FWS and a
grant recipient. However, in a cooperative agreement, the Service is substantially involved in the grant activities.
For purposes of these Standards, the term Grant Agreement includes cooperative agreements.
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Debarment means an action taken by an authorized official in accordance with the regulations in 43 CFR 12 subpart
D to exclude a person from Federal financial and non-financial assistance and benefits under Federal programs and
activities. Debarment by any agency has government-wide effect. A person within the context of this definition is
an individual, corporation, partnership, association, unit of government or legal entity, however organized, except:
foreign governments or foreign governmental entities, public international organizations, foreign government owned
(in whole or in part) or controlled entities, and entities consisting wholly or partially of foreign governments or
foreign governmental entities.
Direct costs are those costs necessary to meet a project’s specific objectives, including conservation project
activities and directly allocable administrative costs. See indirect costs.
Disposal means to remove real property or interest in real property from the grant project. Disposal must be
approved by the FWS Grant Officer, even after the grant period of performance has ended.
Electronic funds transfer process means any transfer of funds, other than a transaction originated by cash, check, or
similar paper instrument, which is initiated through an electronic terminal, telephone, computer, or magnetic tape,
for the purpose of ordering, instructing, or authorizing a financial institution to debit or credit an account. All
Federal payments made by an agency shall be made by electronic funds transfer when possible.
Eligible cost means a cost that can be paid or reimbursed with Federal grant and/or matching funds or accepted as a
matching in-kind contribution.
Encumber real property means to attach a claim, liability, or some other right to real property and make it binding
on the same. An encumbrance may burden or lessen the value of the real property or obstruct or impair its use. It
does not necessarily prevent transfer of title.
Enhance habitat means to modify or rehabilitate an existing or degraded but functioning habitat to improve function
and meet project objectives.
Equipment means tangible non-expendable personal property, including exempt property charged directly to the
award, having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. However,
consistent with recipient policy, lower limits may be established.
Establish wetlands (wetland creation) means to manipulate through design, construction and management, the
physical, chemical, and/or biological characteristics of a site to produce and sustain a wetland that did not previously
exist there. Such establishment results in a gain in wetland acres.
Federal assistance is the transfer of money, property, services, or anything of value from the United States
government to a Recipient to accomplish a public purpose of support or stimulation authorized by a Federal statute.
Federal Cash Transactions are grant fund receipts and expenditures reportable on a quarterly basis on the SF 425,
required only if Recipient opts to receive advances of grant funds.
Funding period means the period of time established in the Grant Agreement when Federal funding is available for
obligation by the Recipient. The funding period begins on the first day during which the Recipient may request an
advance of funds or a reimbursement. It ends on the last day that the Recipient may incur costs for the project. For
purposes of these Standards, the funding period means the same as “project period,” “grant period,” or the “period of
performance”.
FWS means the United States Fish and Wildlife Service, an agency of the Department of the Interior.
Grant Agreement may be a grant or cooperative agreement, and consists of a signed Notice of Award and
incorporated provisions, these Standards, the Recipient's project proposal and any approved amendments, and the
Recipient's signed SF-424 including required certifications and assurances. It is the legal instrument used to
document a type of relationship between FWS and a Recipient of an award under NAWCA or NMBCA.
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Grant Agreement Summary is a document generated by FWS describing details of a grant project. It is part of a
grant agreement, included as a provision of the Notice of Award.
Grant funds are Federal financial assistance provided through NAWCA or NMBCA to an eligible Recipient for the
purpose of providing support or stimulation to accomplish a public purpose. Other Federal funds are not considered
grant funds for the purposes of these Standards.
Grant Officer means the FWS official who develops and administers a Grant Agreement. The Grant Officer will
review the progress of the grant-funded project, approve or disapprove all requests for prior approval or
concurrence, amend or modify the project as necessary, recommend reductions in the grant amount where
appropriate, and perform the final review of the project prior to close-out. May also be called Program Officer or
Grant Specialist.
In-kind match See matching in-kind contribution.
Incurred costs means those costs for which an obligation to pay commences on: (a) the earlier of placing an order,
signing a contract, or performing or receiving a service; or (b) in the case of real property, taking title to real
property.
Indirect costs are those that have been incurred for common or joint objectives and cannot readily be identified with
a particular final cost objective without effort disproportionate to the results achieved. Indirect costs include all
costs determined, allocated, or distributed in accordance with the methods authorized for indirect costs in the
Federal Cost Principles.
Ineligible cost means a cost that cannot be paid nor reimbursed with Federal grant and/or matching funds or
accepted as a matching in-kind contribution.
Interest in real property means a legal share of ownership, whether entire or partial, fee simple, easement, or other,
in land including land improvements, structures, and appurtenances such as trees, grass, and other plants growing on
the land except crops.
Liquidate means to settle all debts, claims, or obligations associated with a grant by applying grant and match funds.
The business portion of a grant is settled by liquidating all of its liabilities and assets.
Liquidation period is the time after the project period ends during which all remaining funds must be disbursed. It
ends 90 days after the end of the project period.
Market value is the most probable price for a property to be sold in an open and competitive market, as established
by professional appraisal or other accepted valuation; also referred to as fair market value.
Match means the financial value of any cash, real property, or in-kind services donated to the project by the
Recipient or other partners to fulfill terms and requirements of the Grant Agreement. No match with a direct or
indirect Federal origin, or that was received or used as match under other Federal assistance agreements, qualifies as
a matching contribution unless expressly authorized by Federal legislation. An eligible cash matching contribution
expended for property or services for which the cost was incurred before FWS receives the proposal, is considered a
matching in-kind contribution.
Matching cash contribution means any cash that is donated for use as non-Federal match to a project by the
Recipient or by other partners under the terms of the Grant Agreement.
Matching in-kind contribution means any property or service that is donated by a non-Federal entity under the
terms of a Grant Agreement. The match provider gives the property or service without charge or for a nominal
payment or something of nominal or no market value. Matching in-kind contributions are eligible under NAWCA
grants and under NMBCA grants for activities occurring in Latin America and the Caribbean.
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NAWCA means the North American Wetlands Conservation Act (16 U.S.C. 4401 et seq., and amendments thereto).
NMBCA means the Neotropical Migratory Bird Conservation Act (16 U.S.C. 6101 et seq., and amendments
thereto).
Notice of Award is the instrument used by FWS to financially obligate grant funds under NAWCA or NMBCA, and
is included in the Grant Agreement.
Notice of Grant Requirements means a written instrument recorded in the county recorder’s office, the registrar of
deeds office, the commissioner of deeds office, the county registrar’s office, or the bureau of conveyances, in
reference to any real property right that is part of a NAWCA-funded project. The Notice of Grant Requirements
states the purpose of project and serves as notice that any transfer or encumbrance of the referenced property rights
must be approved by the FWS.
Obligate funds means place an order, award a contract, award a grant, receive a service, or make a similar
transaction during a given period that will require payment during the same or a future period.
Obligation means a binding agreement that will result in outlays, immediately or in the future.
Old match means eligible matching in-kind contributions acquired or performed before the FWS receives a
NAWCA proposal. Matching in-kind contributions are not eligible for NMBCA project activities occurring in the
U.S. or Canada..
Other authorized titleholder means any entity that holds an interest in real property acquired with grant or matching
funds or as a matching in-kind contribution, but is not necessarily a “recipient” or “subrecipient.” Examples of an
“other authorized titleholder” are: (a) a nonprofit organization that buys land and commits it as match for a NAWCA
project, but retains ownership and continues to administer the land for the purposes of the project; and (b) an
organization that receives title to land acquired under a Grant Agreement after the funding period.
Outlay means a payment towards liquidating an obligation. On financial reports prepared on a cash basis, outlays
mean the sum of cash disbursements for direct charges for goods and services, the amount of indirect expenses
charged, the value of third-party in-kind contributions applied, and the amount of cash advances and payments made
to subrecipients. On financial reports prepared on an accrual basis, outlays means the sum of cash disbursements for
direct charges for goods and services, the amount of indirect expenses incurred, the value of third-party in-kind
contributions applied, and the net increase (or decrease) in the amounts owed by the Recipient for goods and other
property received for services performed by employees, contractors, subrecipients and other payees, and other
amounts becoming owed.
Partner is a group, agency, organization, or individual which participates in a specific NAWCA or NMBCA project
as a match provider.
Pre-agreement costs means those project costs to be funded by Federal grant and/or matching funds, which are
incurred after FWS receives the proposal and before it signs the Notice of Award. Such costs are allowable only to
the extent that they would have been allowable if incurred during the funding period. This term is synonymous with
“pre-award costs”.
Prime Recipients are non-Federal entities that receive grant funding through Federal awards. The terms "prime
recipient" and "recipient" are interchangeable. For Federal contracts subject to reporting under FAR clause 52.20411, these terms translate to "Federal contractor."
Prior approval means written permission from the Grant Officer in advance of any act that would modify the project
budget or scope where such approval is required by the award.
Program income means gross income earned by the Recipient or subrecipient that is directly generated by the
Award or earned as a result of the Award. Program income may be generated by both the federally funded and
33
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
match-funded portions of the award, but must be generated after the beginning of the funding period. Program
income includes but is not limited to: income from recreational or other fees; income from the use, rental, or lease of
any real or personal property; the sale of timber, firewood, hay, seed, wild rice, agricultural products, and other
commodities; the sale of specific quantities (but not the real property interests therein) of water, earth, gravel, oil,
gas, and minerals; and the use or rental of personal or real property acquired under the Grant Agreement. Net
program income is program income less the costs incident to the generation of the program income, provided these
costs have not been: (a) charged to the Federal funds in the award; (b) charged to a matching cash contribution; or c)
provided as a matching in-kind contribution.
Programmatic project is one where a subsequent phase of a Standard Grant NAWCA project has been awarded and
combined with an original project as a continuation of the work of that original project. Programmatic projects
include essentially the same conservation work conducted by the same grantee within the same project area as
originally described. A programmatic project may include no more than three phases.
Project means a program of related undertakings necessary to fulfill a defined need consistent with the purposes of
NAWCA or NMBCA and approved by the Migratory Bird Conservation Commission or FWS Director, as
applicable.
Project activity refers to any undertaking sponsored by grant funds or accomplished through a matching
contribution. Project activities are defined in the application instructions for NAWCA and NMBCA grants.
Project period See funding period.
Proposal means all the documents that are submitted with, or pursuant to, a NAWCA or NMBCA grant application
to the FWS.
Real property means land, including land improvements, structures, and appurtenances such as trees, grass, and
other plants growing on the land except crops. It does not include movable machinery and equipment.
Real property valuation means the method used for determining market value of real property, generally a
professional appraisal.
Recipient means an entity that receives an award to carry out a project. The Recipient is the entire legal entity even
if only a particular component of the entity is designated in the grant award document.
Restore habitat means to return a converted or severely degraded habitat to a functioning type of natural system
previously present at the site, often to some desirable historic baseline considered suitable and sufficient to support
healthy and self-sustaining populations of fish and wildlife.
State means any of the several States of the United States, the District of Columbia, the Commonwealth of Puerto
Rico, any territory or possession of the United States, or any agency or instrumentality of a State exclusive of local
governments.
Subaward means financial assistance in the form of money or property made under an award by a Recipient to an
eligible subrecipient or by a subrecipient to a lower-tier subrecipient. The term includes financial assistance when
provided by any legal agreement, even if the agreement is called a contract, but does not include procurement of
goods and services. For the purposes of the NAWCA Grants Program, “subaward” is synonymous with “subgrant.”
Subrecipient or subgrantee is the legal entity that receives a subaward and is accountable to the Recipient for the use
of the funds provided. The subrecipient is the entire legal entity even if only a particular component of the entity is
designated in the grant award document. Unlike a vendor, a subrecipient organization must be eligible to receive
Federal financial assistance, will have its performance measured against the objectives of the grant/Federal program,
has responsibility for making programmatic decisions, must adhere to applicable Federal program compliance
requirements, and carries out programmatic goals rather than supplying goods and services. See Vendor
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U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
Suspension means an action taken by a suspending official in accordance with the regulations in 43 CFR, part 12,
subpart D, that immediately excludes a person from participating in covered transactions for a temporary period,
pending completion of an investigation, pending completion of an investigation and such legal, debarment, or
Program Fraud Civil Remedies Act Proceedings as may ensue. A person so excluded is suspended. A person
within the context of this definition is an individual, corporation, partnership, association, unit of government or
legal entity, however organized, except: foreign governments or foreign governmental entities, public international
organizations, foreign government owned (in whole or in part) or controlled entities, and entities consisting wholly
or partially of foreign governments or foreign governmental entities.
Supplies are tangible personal property other than equipment.
Tenant means a person who has the temporary use and occupancy of real property owned by another, whether for
residential or business purposes.
Term of an agreement means a provision or condition of that agreement.
Term of a less-than-perpetual easement means the length of time that the holder of the easement may exercise
limited use of another’s land. Term of a lease means the length of time that a tenant may rightfully occupy the
premises, as stipulated in the lease document.
Transfer of title means a change in ownership of any or all real property rights.
Vendor (as opposed to subrecipient or subgrantee) is generally a commercial organization that provides goods and
services to the grantee within normal business operations, provides similar goods or services to many different
purchasers, operates in a competitive environment, provides goods and services that are ancillary to the operation of
the Federal program, and is not subject to compliance requirements of the Federal program.
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U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
Appendix C
Sample Notice of Grant Requirements Template
[PARTNER] is the owner of a certain piece or parcel of land located in [TOWN,
COUNTY, STATE] more particularly described in Exhibit __ attached hereto and made part
hereof (the “Property”).
[PARTNER] acquired the Property [with] [as match for] North American Wetlands
Conservation Act funds pursuant to a Grant Agreement between the U.S. Fish and Wildlife
Service and [Grant Recipient], dated ____________, Agreement Number:__________, a copy of
which is kept at the Division of Bird Habitat Conservation (DBHC), U.S. Fish and Wildlife
Service, 1849 C Street, NW, Washington, DC 20240 and at the office of [GRANT RECIPIENT]
at [address].
This property was conserved in order to [STATE PURPOSE OF PROJECT].
[PARTNER] hereby agrees to be bound by the terms of the Grant Agreement as they
relate to the Property, including the obligation to ensure the long term conservation of the
Property and to obtain the consent of the U.S. Fish and Wildlife Service DBHC prior to the
conveyance or encumbrance of any interest therein.
The terms of this Notice shall be binding upon [PARTNER] and its designees and
successors.
In witness whereof the [PARTNER] has set its hand and seal this ___ day of
___________, 20__.
__________________________
By:
Its:
DULY AUTHORIZED
STATE OF (
COUNTY OF (
)
On this _____ day of ______, 20_, before me personally appeared ____________, to me
personally known, who, being by my duly sworn did state that _____ is the _________ of the
corporation named in the foregoing instrument; that the seal affixed to said instrument is the
corporation seal of said corporation; and acknowledged said instrument to be the free act and
deed of said corporation.
__________________________
Notary Public
My Commission expires:
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U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
INDEX
36 CFR, 5, 11
43 CFR, 4, 11, 12, ,13, 20, 23, 25, 31, 35
49 CFR, 4, 8, 11, 15, 17, 18, 20
Acquisition, 4, 6, 8, 11, 12, 15, 16, 20, 30,
31
Acreage, 8, 10
Advance(s), 6, 11, 13, 14, 21, 31, 33
Allocable, 11, 12, 15, 30, 31
Allowable, 5, 9, 10, 12, 33
Applicant, 27, 30
Appraisal, 15, 17, 18, 32
Appraisal review, 15, 17, 18
Assistance award, 13
Assurances, 4, 16, 27, 31
Audit, 13, 25, 26
Authority, 4, 11, 16, 18, 24, 26
Authorized Representative, 26, 27, 30
Automated Standard Application for
Payments (ASAP), 13, 30
Award, 4, 5, 6, 7, 11, 22, 27, 28, 30, 31, 33,
34
Bargain sale, 17, 18, 30
Boundaries, 21
Buyer, 16, 17, 18, 23, 30
Certification(s), 18, 27, 28, 31
Changes, 12, 16, 21
Closing statement, 18
Condemnation, 16, 18
Conservation, 4, 5, 12, 16, 21, 31, 33, 34,
36,
Construction, 4, 22, 30, 31
Cost Principles, 10, 12, 14, 21, 32
Cost sharing, 12
Costs, 5, 9, 10, 11, 12, 15, 16, 21, 22, 23, 25,
30, 31, 32, 33, 34
De minimis, 21
Debarment, 4, 23, 24, 25, 27, 31, 35
Debt, 25
Deduction, 12
Deed, 2, 19, 20, 31, 34, 37
Department of the Treasury, 30
Documentation, 5, 6, 8, 10, 11, 17, 18, 26
Drug-Free Workplace, 4, 25, 28, 29
Easement, 12, 16, 17, 18, 19, 20, 21, 26, 30,
32, 35
Electronic funds transfer process, 4, 6, 13,
30, 31
Eligible, 5, 9, 10, 14, 16, 30, 31, 32, 33, 34
Eminent domain, 16, 18
Encumber, 20, 31
Encumbrance, 19, 31, 33, 36
Endangered Species Act, 5, 15
Enhance(d), 8, 20, 21, 26, 31
Equipment, 8, 14, 15, 26, 31, 34, 35
Establishment, 21, 26, 30, 31
Excess, 10, 13, 14, 18
Execution, 5
Extension, 8, 21, 22
Federal assistance, 13, 30, 31, 32
Federal cash advance, 13, 14
Federal cash transaction, 6, 31
Fees, 15, 34
Funding period, 9, 12, 21, 23, 31
Grant Agreement, 4, 5, 10, 11, 12, 14, 18,
19, 20, 22, 25, 26, 30, 31, 32, 33, 36
Grant Agreement Summary, 4, 32
Grant funds, 6, 9, 10, 12, 13, 14, 16, 18, 19,
23, 31, 32, 33, 34
Grant officer, 5, 8, 9, 17, 20, 21, 22, 23, 24,
26, 28, 29, 32, 33
Income, 11, 12, 13, 33, 34
Incur, 9, 10, 13, 15, 31
Indirect costs, 22, 32
Interest in real property, 18, 20, 30, 31, 32,
33
Interest-bearing account, 13
Jurisdiction, 4, 19
Landowner, 16
Lease, 18, 19, 20, 26, 30, 34, 35
Lobbying, 4, 27, 28
Market value, 14, 15, 16, 17, 18, 30, 32, 34
Matching contribution, 8, 9, 10, 11, 21, 32,
34
Matching in-kind contribution, 10, 11, 15,
18, 19, 20, 31, 32, 33, 34
Monitoring, 8, 24, 25, 26
National Environmental Policy Act, 5, 15
National Historic Preservation Act, 5, 11, 15
National Wildlife Refuge System, 5
37
U.S. GRANT ADMINISTRATION STANDARDS—SEPTEMBER 2010 AS AMENDED
North American Wetlands Conservation Act and Neotropical Migratory Bird Conservation Act
Neotropical Migratory Bird Conservation
Act (NMBCA), 4, 11, 12, 16, 17, 18, 19,
20, 23, 26, 30, 31, 32, 33, 34
Noncompliance, 22, 23, 25
Non-Profit, 11, 26
North American Wetlands Conservation Act
(NAWCA), 4, 5, 6, 7, 8, 10, 11, 12, 16,
19, 20, 21, 23, 26, 30, 31, 32, 33, 34, 36
Notice, 5, 16, 17, 18, 19, 28, 29, 30, 31, 32,
33, 36
Notice of Award, 4, 31, 33
Notice of Grant Requirements, 19, 33, 36
Objectives, 7, 9, 10, 31, 32, 34
Obligate, 6, 9, 16, 22, 33
Obligation, 14, 15, 16, 17, 20, 31, 32, 33, 36
Old match, 5, 8, 33
OMB Circular, 26, 30
Overhead, 12
Partner, 11, 17, 22, 32, 33
Penalties, 25, 28
Pre-agreement costs, 5, 9, 33
Program income, 11, 12, 33, 34
Project Activity, 34
Proposal, 4, 5, 7, 8, 9, 10, 11, 12, 16, 17, 18,
19, 20, 21, 27, 30, 31, 32, 33, 34
Real property, 4, 5, 6, 8, 9, 11, 15, 16, 17,
18, 19, 20, 21, 23, 30, 31, 33, 34, 35
Real property valuation, 15, 17, 34
Regional Offices, 5
Reimbursement, 6, 13, 24
Relocation, 11, 15, 16, 18
Remedies, 23, 25, 35
Report, 5, 6, 7, 8, 9, 10, 11, 12, 15, 21, 23,
24, 25, 26, 28, 29, 31, 33
Restore(d), 8, 20, 21, 26
Risk, 9, 16, 19
Seller, 16, 17, 18, 23
Standard Form 424 (SF-424), 4, 27, 31
Standard Form 425, 5, 6, 8, 31
Standards, 4, 10, 17, 23, 30, 31, 32
State, 4, 7, 10, 11, 13, 14, 15, 17, 19, 24, 25,
26, 27, 29, 33, 34, 36
Subaward, 5, 6, 7, 28, 34
Subrecipient, 6, 7, 9, 10, 11, 12, 14, 15, 16,
17, 18, 19, 20, 21, 23, 24, 25, 26, 33, 34,
35
Substitution, 8, 21
Supplies, 8, 11, 14, 15, 26, 35
Surveys, 15
Suspension, 4, 23, 24, 25, 27, 35
Taxes, 15
Technical Assessment Questions, 7
Tenant, 18, 35
Termination, 5, 15
Title, 4, 7, 9, 14, 15, 16, 17, 18, 19, 28, 31,
32, 33, 35
Title insurance, 15
Titleholder, 20, 21, 33
Transfer of title, 17, 35
Treasury-State agreement, 13, 25
Tribal, 13
Tribes, 13, 25
Violation, 24, 25, 27, 28, 29
Waiver, 20
Wetland, 4, 12, 17, 21, 26, 30, 31, 33, 36
Year, 7, 8, 9, 11, 13, 15, 19, 21, 25, 26, 27,
31
38
| File Type | application/pdf |
| File Title | Microsoft Word - US Grant Standards 2010 amended.docx |
| Author | ayork |
| File Modified | 2015-01-15 |
| File Created | 2012-03-28 |