203-partnership-authorities-instruments.ppt

1. 
   203 Partnership Authorities
   and Instruments

 

1. Course Objectives

• •To distinguish between procurement, grant, and agreement 

• •To identify what is an authority and what is an instrument 

• •To become familiar with the common authorities and instruments used in partnerships and when/how to use them 

 

1. How Do You Know Which It Is?

1. Procurement vs.
   Grant/Agreement

1. The focus of this course is to focus on grants and agreements but in an effort to eliminate confusion, quickly review the difference between contracting/procurement and grants and agreements.

 

1. Federal Grants and Cooperative Agreements Act of 1977

   (FGCA)

1. The FGCA Law was passed in 1977 to provide standardization among the agencies because of a myriad of procurement instruments.  It was difficult for organizations to work with federal agencies.

   Reference: FSM 1580.6  FEDERAL GRANTS AND COOPERATIVE AGREEMENTS ACT OF 1977 (31 U.S.C. 6301-6308, PUB L 95-224)  (FGCA)

 

1. The key difference is that a contract/procurement is used for the primary benefit of the FS.  Whereas, the grants and/or cooperative agreements are for the primary benefit of the recipient.  In this context, and under this Act, the difference between grant and cooperative agreement is the level of involvement of the federal agency:  substantial or not.  Substantial involvement means both the agency and the recipient must be actively involved in the activity to be performed.

   It should be noted that the term “cooperative agreement” in this context is different than when used as a general statement for all agreements.  The sometimes can cause confusion since Cooperative Agreement is a specific type of instrument.

   Refer to Partnership Guide for helping sort through questions.

    

1. Authority and Instrument

• •An Authority is the legislation that allows the Forest Service to commit resources and funding to a project 

• •An Instrument is the formalized document or arrangement that defines rights, duties, entitlements and/or liabilities 

1. Authority = public law

   Grant or Agreement = instrument

 

1. Authorities

 

1. Government-wide Authorities

1. Federal Technology Trans Act – Research Authority

   Fed Grants & Co-op Agreements Act – Research & Grants Authority

   US Information & Exchange Act – International Forestry & S&PF Authority

 

1. Forest Service-wide Authorities

 

1. Forest Service-wide Authorities (cont.)

 

1. Research Authorities

 

 

1. State & Private Authorities

• •Cooperative Forestry Assistance
  Act of 1978
  PL95-313 

• •National Forest Dependent Rural Communities Economic Diversification Act of 1990
  PL 101-624 

• •America the Beautiful
  PL 101-624 

 

1. National Forest System Authorities

• •National Trails 

• 1. System Act

• 1. PL 90-543

• •Cooperative Law 

• 1. Enforcement Act

• 1. August 10, 1971

     PL 92-82

• •Wild & Scenic 

• 1. Rivers Act

• 1. PL 90-542

• •Sikes Act 

• 1. of Sept 1, 1960

     PL 86-797

• •National Forest 

• 1. Roads & Trails

     Act

• 1. PL 88-657

 

1. National Forest System Authorities (cont)

• •Reciprocal Fire Act 

• 1. May 27, 1955

     PL 84-46

• •National & Community Service Act of 1990 

• 1. PL 101-610

• •Healthy Forests Restoration Act 

• •Federal Noxious 

• 1. Weed Act of 1974

• 1. PL 101-624

 

1. Additional National Forest System Authorities

 

1. Government Wide – Federal Grants and
   Cooperative Agreements Act of 1977

 

 

1. Provide Handout: “Grant & Agreement Instruments - Typical for the National Forest System”

   These are available to most agencies – they are government wide.   

   This chart shows the overarching authorities but not all in detail.  

   Was passed in 1977 to provide standardization among the agencies because of myriad of procurement instruments.  Difficult for organizations to work with federal agencies.

   Reference: FSM 1580.6  FEDERAL GRANTS AND COOPERATIVE AGREEMENTS ACT OF 1977 (31 U.S.C. 6301-6308, PUB L 95-224)  (FGCA

    

 

1. Instruments = Agreements

 

1. Common Forest Service Agreements

• •Cooperative Fire Protection, Law Enforcement, and Forest Roads Agreements 

   

• •Volunteer Agreements 

   

• •Interagency Agreements 

   

• •Collection Agreements 

   

• •Memoranda of Understanding 

   

1. Volunteer Agreements will not be discussed in this presentation. They can be used by individuals or organizations when voluntarily contributing their time toward Forest Service activities.  See FSM 1830 for more information.

 

1. Common Forest Service Agreements

1. Other Mutual Interest and/or Mutual Benefit Agreements

• •  Participating  

• •  Challenge Cost Share 

• •  Joint Venture 

• •  Cost Reimbursable 

1. These other agreements are not subject to the Federal Grants & Cooperative Agreements Act.  They are exempted by OMB and/or are supported by other regulations and statutes, some of which are unique to the Forest Service.

 

1. OMB Exempted
   Cooperative Agreements

1. • OMB has provided limited waivers for three types of cooperative agreements and when entered into under these authorities ; Cooperative Law Enforcement, Coop Forest Road, and Cooperative Fire Protection.

    

    

 

1. OMB Exempted
   Cooperative Agreements

• • 1. Cooperative Fire Protection

• • 1. Authorities:  

• • • •Granger-Thye Act of April 24, 1950 

    • •Cooperative Funds Act of June 30, 1914 

    • •Cooperative Funds &  Deposits Act of December 12, 1975 

    • •Reciprocal Fire Protection Act of May 27, 1955 

 

1. Memorandum of Understanding

• •To document a framework for cooperation between the FS and other parties for carrying out their separate activities in a coordinated and mutually beneficial manner.   

• •Only used when nothing of value is to be transferred/exchanged. 

• •There are no specific authorities for an MOU. 

1. Key Note:  This is a non-fund obligating document.  If specific work projects or activities involving the transfer of funds, services, or property between the parties are considered, then this will require execution of separate agreements and be contingent upon the availability of appropriated funds.  Such activities must be independently authorized by appropriate statutory authority.  An MOU does not provide such authority.  Negotiation, execution, and administration of each such agreement must comply with all applicable statutes and regulations.

 

1. Collection Agreements

1. References:

1. FSM 1584 Grants and Agreements
   Collection Agreements

   FSM 1509.11 Chapter 30

 

1. Collection Agreement

1. An instrument used for the acceptance of money, equipment, property, or products by the Forest Service from a non-federal party to carry out a purpose authorized by law.

1. This is the Instrument.  There are several authorities that are considered when entering into a collection agreement.  We will take a look at a few of them.

 

1. Collection Agreement
   Authority: Cooperative Funds Act of June 30, 1914

• •Contributions must be cash, check, or money order  

• •Cannot accept services, equipment, materials or supplies under this authority 

• •Funds may be advance or reimbursement 

• •Overhead may be waived (FSH 1909.13, Chapter 40) 

   

1. *Reference FSH 1909.13, Chapter 40 for guidance regarding overhead assessment.

   Examples of types of work:

   •  Construction and maintenance of NF improvements.

      Protection of NF from fire, insects, disease, etc.

      Management activities like planning, analysis and studies related to resource activities.

 

1. Collection Agreement
   Authority: Cooperative Funds Act of June 30, 1914

• •Work must benefit a FS program; FS must accomplish the work via force account, contract, or other appropriate method 

• •Funds must be accounted for separately (CWFS/NFEX) 

• •No conflict of interest or appearance of 

• •No endorsement 

   

 

1. Collection Agreement
   Authority: Granger-Thye Act (Section 5)

• •Work to be performed is responsibility of the contributor but has a public benefit.  

• •Work must be on land in State, county, municipal or private ownership situated within or near a National Forest. 

• •FS must collect full costs (including overhead) in advance of work performed. 

1. *Reference FSH 1909.13, Chapter 40 for guidance regarding overhead assessment.

   Examples of types of work:

   • Land exchange surveys

     Biological evaluations

     Cultural resource surveys

 

1. Collection Agreement
   Authority: Granger-Thye Act (Section 5)

• •Reimbursement may be allowed with State and local governments. 

• •Contribution is voluntary 

• •Acceptance of services is not authorized 

• •No endorsement 

• •Forest Service is not liable to the depositor for damage performed under the agreement 

   

 

1. Collection Agreement
   Authority: Acceptance of Gifts Act of October 10, 1978

• •Gifts may include: 

• • –Cash 

  • –Real or personal property 

  • –Net proceeds from liquidation of any real or personal property 

  • –Proceeds from any insurance on any gift property 

• •Donated funds are a voluntary, gratuitous transfer of cash to the Forest Service – with “no strings” attached  

1. Acceptance of Gifts Act is currently listed as a collection authority under Collection Agreements; however, no formal agreement is necessary since there are no strings attached.  This is in contrast to contributed funds for a specific purpose pursuant to the Cooperative Funds Act and Granger-Thye Act as previously mentioned.

   Authority to accept real or personal property is limited to the Regional Foresters, and Station, Area, and Institute Directors.

 

1. Collection Agreement
   Authority: Acceptance of Gifts Act of October 10, 1978

• •Acceptance of services is not authorized under this Act (see Volunteer Act)  

• •Acceptance of gifts cannot be contingent on endorsement of firms or products 

• •Gifts cannot be accepted from interested parties (7 CFR 0.735-12(a)) 

• •A memo to the donor should cite the authority that this gift is being accepted under, and if known, what the gift will be used for. 

   

 

1. Collection Agreement
   Authority: Intergovernmental Cooperation Act of 1968

• •To provide specialized or technical services to State and local governments upon written request. 

• •Tribal governments are not covered by this Act. 

• •Cooperator pays for all costs, including indirect costs. 

• •Has very specific guidelines regarding its use. 

1. This instrument should only be considered after thoroughly reviewing the OMB circulars applicable to decisions regarding its use:  A-97, A-76, A-25

 

1. Interagency Agreements

1. References:

1. FSM 1585 Grants and Agreements Interagency Agreements

   FSM 1509.11 Chapter 40

 

1. Interagency Agreement

 

1. Interagency Agreement
   Authority: Economy Act of June 30, 1932

• •Ensure work is authorized by FS statutes and appropriations.  “Both agencies shall possess the statutory authority to do the work”. 

• •Requires Economy Act determination. 

• •Generally reimbursement, but can be advance 

1. Reference FSH 1909.13 Chapter 40 for Overhead Assessment and guidance.

   Most common authority used, but not the only one.  Service First is an interagency authority; however, FSM 1580 does not currently have policy in place to apply it within an Interagency Agreement.  It is also specific to USDA-FS and USDI – BLM, NPS, FWS.

   Handout – form for Economy Act determination

   Most common authority used, but not the only one.  Service First is an interagency authority; however, FSM 1580 does not currently have policy in place to apply it within an Interagency Agreement.  It is also specific to USDA-FS and USDI – BLM, NPS, FWS.

   Handout – Service First

 

1. Interagency Agreement
   Authority: Economy Act of June 30, 1932

• •Recover full direct and indirect
  (overhead) costs 

• •Agreement may be documented on Form AD-672, in a narrative format, or via another agency’s format (any method must include FS agreement # and mandatory FS clauses). 

   

 

1. Intra-agency Agreements

1. No statutory authority is required.  This is solely for internal use. Some Regions still use these narrative agreements and some don’t.

   Transfers and authorization for expenditure of another Forest Service unit's funds is accomplished by completing and transferring Form FS-6500-46, Authorization for In-Service Expenditures. If the responsibilities of each unit can be satisfactorily documented on the Form FS-6500-46, a narrative formant may not be necessary.

   This form is a financial form, not an agreement per FSM 1580.

   No funding made available for this type of agreement should be done through IWEB.

 

1. Mutual Interest and/or Mutual Benefit Agreements
   FSM 1587

• •Participating 

• •Challenge Cost Share 

• •Joint Venture 

• •Cost Reimbursable 

1. These instruments typically involve a joint accomplishment of work and have direct benefits to both the cooperator and the Forest Service.  These instruments are commonly referred to as partnerships; however, they have been assigned specific agreement titles.  Execution of these instruments shall not circumvent procurement, printing, property, or personnel procedures where their use is appropriate or required.  All require a financial plan clearly demonstrating the costs borne to each party.  Treatment of payments, cost-sharing, and indirect costs is contingent upon the authority/instrument.

   For questions regarding Granger-Thye and mutual benefit……….An example of mutual benefit might be:  The State is improving/restoring riparian vegetation on their lands that are also adjacent to FS land.  The FS is doing similar work as this is part of salmon recovery efforts.  The FS could accept their money and do the project.  (More often we would think of using the Wyden authority but this is an option with G-T).  Usually the situation is more like this:  The FS takes the partner's money for the project because it is in the public's interest. An example would be road maintenance for roads used for timber sales. In this situation we have an interest but there is no mutual benefit because the purchaser needs to assure a maintained road to harvest trees.

 

1. Participating Agreement (PA)
   

1. FSM 1587.11

   FSH 1509.11 Chapter 60

   Public Law 94-148  

   Cooperative Funds and Deposits Act of
   December 12, 1975

1. Participating Agreements are authorized under PL 94-148; Cooperative Funds and Deposits Act of December 12, 1975.  This authority is unique to the FS and is not considered a cooperative agreement under the definition of the Federal Grants and Cooperative Agreement Act.

   The use of this type of agreement by the Forest Service was authorized by appropriation legislation in 2003 and has been extended possibly through 2011.

 

1. Participating Agreement
   Authority: Cooperative Funds & Deposits Act of December 12, 1975
   P.L. 94-148

1. Authorizes the Forest Service to enter into cooperatively performed, mutually beneficial projects with public and private agencies, organizations, institutions, or persons.

 

1. Participating Agreement
   Authority: Cooperative Funds & Deposits Act of December 12, 1975
   P.L. 94-148

1. Four Specific Areas:

1. 1.Pollution abatement 

2. 2.Cooperative manpower, job training, and development programs 

3. 3.Development of publication of cooperative environmental education and forest history materials 

4. 4.Forestry Protection 

 

1. Participating Agreement
   Authority: Cooperative Funds & Deposits Act of December 12, 1975
   P.L. 94-148

1. General Requirements:

• •Forest Service may provide reimbursable or advance payments 

• •Forest Service may reimburse cooperator for part of actual costs of materials and/or labor.  Reimburse-ment can NOT be based on value, but must be actual costs incurred in support of the project  

• •Match can be cash, real or personal property, services, and/or in-kind contribution                                 

 

1. Participating Agreement
   Authority: Cooperative Funds & Deposits Act of December 12, 1975
   P.L. 94-148

1. General Requirements

• •Financial plans required prior to start
  of work 

• •Funds may be used for printing under certain conditions 

• •Do not circumvent procurement, printing, property or personnel procedures.          

 

1. 
   

1. Authorizes the Forest Service to enter into cooperative agreements with willing Federal, tribal, State and local governments, private and nonprofit entities, and landowners for the protection, restoration, and enhancement of fish and wildlife habitat, and other resources on public or private land that benefit those resources within the watershed.

• 1. Handouts (2):  Wyden Amendment

     AKA: Watershed Restoration and Enhancement Agreements

 

1. Participating Agreement
   Authority: Wyden Amendment, Section 323(A) of the Department of Interior and Related Agencies  Appropriations Act, 1999 as included in P.L. 105-277, Div. A, Section 101 (e) as amended by P.L. 107 63, Sec. 330

• •Agreement template can be either Federal Assistance or Other Agreement. 

• •There is no specific Wyden appropriation. Funds must be available within existing appropriation; e.g., wildlife funds for wildlife projects. 

• •There is no mandated match requirement. 

   

 

1. Participating Agreement
   Authority: Wyden Amendment, Section 323(A) of the Department of Interior and Related Agencies  Appropriations Act, 1999 as included in P.L. 105-277, Div. A, Section 101 (e) as amended by P.L. 107 63, Sec. 330

• •Ensure agreement terms protect public investment on nonfederal lands. 

• •Project(s) must comply with all Federal, state, and local laws and regulations. 

• •Liability and long term maintenance responsibilities need to be addressed. 

 

1. Challenge Cost Share (FSM 1587.12 & FSH 1509.11 Chapter 60)

   PL 102-154, 1992

    Note that the authority for challenge cost share agreements is under the Interior and Related Agencies Appropriations Act of 1992

 

1. 
   Challenge Cost-Share Agreement
   Authority: Interior and Related Appropriations
   Act of 1992

1. Authorizes the Forest Service to cooperate with other parties to develop, plan and implement projects that are mutually beneficial to the parties that enhance Forest Service activities.  This includes financing projects with matching funds from cooperators.  Cooperators may be public and private agencies, organizations, institutions and/or individuals.

 

1. Challenge Cost-Share Agreement
   Authority: Interior and Related Appropriations
   Act of 1992

1.        

• •Contributions shall be commensurate with the benefit received. If we're receiving 75% of the benefit, then we can contribute up to 75% of the funds on the project.  

• •Forest Service may reimburse cooperator for part of actual costs of materials and/or labor.  Reimbursement can NOT be based on value, but must be actual costs incurred in support of the project.  

• •No advance payments allowed.   

 

1. Challenge Cost-Share Agreement
   Authority: Interior and Related Appropriations
   Act of 1992

• •Appropriated funds cannot be used for improvements on non-federal lands. 

• •Match can be cash, real or personal property, services, and/or in-kind contributions 

• •Financial plans required prior to start of work 

• •Program income resulting from project must be shown on financial plan. 

• •Do not circumvent procurement, printing, property or personnel procedures. 

   

 

1. Joint Venture Agreements

1. FSM 1580.11

   National Agricultural Research,
   Extension and Teaching Act of 1977
   as amended by the
   Food Security Act of 1985
   (7 USC 3152, 3318, and 3319, Pub Law 99-198)

 

1. Joint Venture Agreements

1.    Authorizes the Forest Service to enter into joint venture agreements with any entity for agricultural, research, extension, and teaching activities.

 

1. Joint Venture Agreements

• •Mutual interests and benefits must be shared. 

• •Competition is discretionary. 

• •Can be initiated by either party. 

• •May be entire or open-ended. 

• •Executed agreement and financial plan in place before work begins. 

• •Costs shared commensurate with benefits received. 

• •20% minimum cooperator contribution of direct costs. 

• •Do not circumvent procurement, printing, property or personnel procedures. 

1. Entire vs. Open-ended is not unique to JV agreements.  In all cost-sharing arrangements, that is PAs, CSs, and JVs, open-ended instruments can cover situations for a long-term project (but not more than 5 years), but for which the Forest Service has available only the first year (or other period) of funding.

 

1. Joint Venture Agreements

• •Cooperator match can be direct costs, indirect costs, in-kind contributions or other non-federal funds
  or services. 

• •Cooperator’s match cannot be met with other Federal funds except by appropriation law. 

• •Can only be reimbursed for actual costs – not in-kind. 

• •State Cooperative Institutions cannot be reimbursed for direct costs. 

• •Program income deducted from cost of project. 

• •Negotiate reimbursement instead of advance. 

• •No improvements on non-federal lands. 

• •No profit. 

 

1. Cost Reimbursable Agreements

 

1. Cost Reimbursable Agreements

1.    Can be entered into with any State Cooperative Institutions or Educational Institution for acquisition of goods or services, without competition, for agricultural research, extension, or teaching activities.

 

1. Cost Reimbursable Agreements

• •Do not circumvent procurement, printing, property or personnel procedures.   

• •Mutual interests and benefits must be shared. 

• •Competition not required. 

• •Benefits do not have to be the same. 

• •Goods and services must be available in house. 

• •Personal services performed by employees,
  not trainees. 

   

 

1. Cost Reimbursable Agreements

• •Agreement and financial plan in place prior to work. 

• •No advance payments. 

• •Indirect costs <10% of direct costs. 

• •No reimbursement of equipment purchases. 

• •FARs do not apply. 

 

1. Special Authorities:

1. Stewardship Authority

   P.L. 108-7 Sec. 323 (2003)

   Wyden Amendment

   P.L. 109-54, Sec. 434

    

   Service First

   P.L. 109-54, Title IV, Sec 428

1. These authorities are particularly relevant to partnerships at the local field level.  Wyden was discussed in a previous slide (see Participating agreements and Wyden Amendment handouts)

   Service First was also discussed previously within the Interagency agreement slide (see Handout)

 

1. Stewardship Authority

• •Grants authority until 2013  

• •Stewardship contracting projects with private or public entities by contract or agreement 

• •Perform services to achieve land management goals for the NF’s or public lands that meet local and rural community needs. 

1. Authority

   Agreements have been allowed in Stewardship Contracting starting with the FY-2000 Appropriations language which included contract or agreements with “ private persons and entities” and further defined and expanded in FY 2003 appropriations which included contracts or agreements with “private persons or public/private entities”.

   Provide 2 handouts

 

1. Stewardship Agreement - Primary Test

• •Is the project for the mutual interest and benefit of the parties? 

• •Does it advance the mission of the proposed partner, other than for monetary gain, and achieve the FS management goals for the national forests that meet local & rural community needs? 

   

1. Factors for determining application of a stewardship agreement

   The Stewardship Handbook states that the primary test for determining whether or not an agreement is appropriate for your stewardship project, is that you and your potential partners must have mutual interest and benefits.

   These interests and benefits must be other than monetary.  In considering such, the missions and goals of potential partners are to be evaluated to identify common interests and benefits.  

 

1. Instruments which may be allowed under stewardship…

• •Challenge Cost Share 

• •Participatory  

• •Cooperative Agreements under Wyden authority. 

• •SEEK ASSISTANCE from your Grants and Agreement Specialist. 

1. What types of agreements may be used under stewardship??

   Actually, the legislation did not specify any type of agreement.  Rather, the legislation was generic in the use of the term “agreement” and simply authorized the use of existing agreement authorities to barter goods for services.  

   However, we do know, per manual/handbook direction, that traditional agreements, such as challenge cost-share (FSM 1587.12), participating (FSM 1587.11), and Wyden agreements may be used to implement stewardship contracting projects.

   These agreements must be used in accordance with applicable laws, regulations, and direction in FSH 2409.19 Chapter 60  and FSM 1580.

    In considering use of an agreement in stewardship contracting, consult the local or Regional Grants and Agreements Specialist for guidance early in project development.

 

1. Stewardship Contracting
   References

 

1. Other Resources

• •Wyden Amendment:  

• • –FSM 1587.15 

  • –FSH 1509.11 Chapter 60 

• •Service First: 

• • –Support Guide: http://www.fs.fed.us/servicefirst/ 

 

1. In Summary….

• •Many different authorities exist for partnership work 

• •Each authority has a corresponding instrument 

• •Each instrument has guidelines for terms/conditions. 

• •Consult with your grants & agreements staff upfront to ensure the correct authority and instrument 

 

1. References

 

1. References

• National Grants and Agreements Templates:  http://fsweb.wo.fs.fed.us/aqm/grants/Templates 

• The Partnership Guide: http://www.partnershipresourcecenter.org/ 

 

1. Acknowledgements

• •Pinchot Institute for Conservation 

• •National Forest Foundation  

• •National Park Service 

• •Bureau of Land Management 

• •USDA Office of General Counsel 

• •FS Grant Strategists Enterprise Team 

• •US Forest Service, including: 

• • –National Partnership Network, National Partnership Office, National Forest System, NFS – Business Operations, Research and Development, State and Private Forestry 

 

1. Looking for More Training?
   Here’s a complete list of modules.

• •Partnerships and Collaboration 101  

• •Collaboration 200  

• •Meeting Objectives Through Partnerships 201  

• •Developing a Partnership 202  

• •Partnership Authorities and Instruments 203 

• •Partnership Conduct and Ethics 204  

• •Understanding Nonprofits and National Forest Foundation 205 

• •Partnership Administration 301 

• •Step by Step Partnership Administration 302 

• •Partnership and Collaboration Tools 303 

 

File Type	application/vnd.ms-powerpoint
File Title	PowerPoint Presentation
Author	Woolley, Clark M -FS
Last Modified By	Lewis, Tinathan A -FS
File Modified	2018-02-21
File Created	0000-00-00

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