ComEd101 - Introduction to Computer Education NEW.docx
California PLC Instructor Workbook
1. Welcome-Instructor Notes
Revised 03/03/08
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welcome.doc
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Project Leaders Course 2008
Welcome-Instructor Notes
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0
Display while participants are finding their
seats.
Course Leader:
Welcome to the Project Leaders Course.
Instructor introduction and give brief job
experience. Have regional representative or
co-instructors introduce themselves.
Are all accommodations satisfactory, any
difficulties with travel or issues to be
resolved? If so, please see the course
coordinator.
Thanks for being here and working with us.
USFWS – Wildlife and Sport Fish Restoration Program 0-1
Information Management Branch - National Training
Project Leaders Course 2008
2. Welcome-Instructor Notes
Housekeeping:
Location of restrooms, break area, telephones.
Announcements / messages are posted on message board located in break
area.
Please turn off or put your cell phones and pagers on silent.
Course Material:
• Everyone should have a course notebook. The notebook contains
handouts that will be used in class.
• Every two people have a laptop that will be used to look up information in
the Toolkit.
• We’ll be working in pairs and groups on exercises throughout the course.
• Parking Lot – You may ask questions anytime during the course. If we
cannot immediately answer the question we will write it down and post it
on the question parking lot. The question may be answered later in the
course or if it isn’t we’ll get an answer as soon as possible.
• Everyone should have completed pre-course work, online courses and
expectations survey.
• Evaluation Form –Tell participants at the end of the course there will be
evaluation forms and we would like their feedback. Explain that these are
important tools for improving future courses.
USFWS – Wildlife and Sport Fish Restoration Program 0-2
Information Management Branch - National Training
Project Leaders Course 2008
3. Welcome-Instructor Notes
Ask participants to stand and give the
following information:
Name, Agency position, years of service and
grant program.
Please open your notebook to Tab 1 and
we’ll review the Agenda:
• Start & stop times.
• Flexibility of break and lunch
schedules.
• The course follows the grant
management process. We have
scheduled breaks, but the schedule is
flexible. Let us know if you need a
break.
USFWS – Wildlife and Sport Fish Restoration Program 0-3
Information Management Branch - National Training
Project Leaders Course 2008
5. Table of Contents
Agenda 1
Goals and Objectives 2
Grant Management Process 3
Compliance 4
Pre-Award: Project Statement Development and Review 5
Pre-Award: The Grant Application Package 6
Award: Notice of Award 7
Post Award: Implementation, Managing & Monitoring 8
Grant Closure 9
Post Closure: Ongoing Responsibilities 10
Handouts 12
USFWS – Wildlife and Sport Fish Restoration Program
Information Management Branch - National Training
Project Leaders Course 2008
7. Agenda
Project Leaders Course
Wildlife and Sport Fish Restoration Program
Information Management Branch - National Training
State Department of Wildlife and Fisheries
Month # - #, 2008
Day, Month #
MORNING SESSION
8:00 a.m. Welcome/Introductions/Getting Acquainted – Unit 1
Grant Management Process – Unit 2
Compliance Issues – Unit 3
LUNCH
AFTERNOON SESSION
Pre- Award: Project Statement Development and Review – Unit 4
Pre- Award: The Grant Application Package – Unit 5
Wrap-Up
4:30 p.m. Adjourn
Day, Month #
MORNING SESSION
8:00 a.m. Review Day 1/Preveiw Day 2
Award: Notice of Award – Unit 6
Post Award: Grant Implementation, Reporting – Unit 7
Grant Closure – Unit 8
LUNCH
USFWS – Wildlife and Sport Fish Restoration Program
Information Management Branch - National Training
Project Leaders Course
8. Agenda
AFTERNOON SESSION
Grant Closure (Cont.) – Unit 8
Post-Closure – Unit 9
Parking Lot / Discussion
Wrap-Up/Post Course Survey
4:30 p.m. Adjourn
USFWS – Wildlife and Sport Fish Restoration Program
Information Management Branch - National Training
Project Leaders Course
9. Goals and Objectives
Revised 03/03/2008
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The purpose of training program is to provide a
national training program to develop basic and
specialized grants management knowledge and
skills resulting in the consistent and sensible
application of regulations, processes, and
decisions in the grant programs administered by
WSFR.
As part of this course you were required to
complete two online courses. These courses are
always available on the website and can be used
as a resource. The courses are updated as
changes occur in the grant programs.
Mention other courses/resources from National
Training Program?
USFWS – Wildlife and Sport Fish Restoration Program 2 - 0.0
Information Management Branch - National Training
Project Leaders Course 2008
10. Goals and Objectives
Instructor Notes Revised 3/6/08
The purpose of this course is to:
Increase your “effectiveness” = increase
knowledge, improve understanding, give you
tools to help you find answers to your grant
management questions.
This course was cooperatively created
through a planning process with National
Training program, your agency, the Regional
Office and with you through the pre-course
expectations survey.
Review course objectives. Reference pre-
course survey and cover additional
objectives.
Be sure that everyone understands and
agrees to the objectives for the course.
Are there are any questions on the
objectives or what will be covered in the
course?
Some objectives were covered in online
courses. We’ll continue to build on these in
the course.
Mention acronyms and glossary in the
Toolkit:
General Guidance > WSFR Program
Glossary
USFWS – Wildlife and Sport Fish Restoration Program 2-1
Information Management Branch - National Training
Project Leaders Course 2008
11. Goals and Objectives
Goals and Objectives
Welcome to USFWS – Wildlife and Sport Fish Restoration Program’s (WSFR)
National Training. The goal of the National Training Program is to:
Provide a systematic and ongoing national training program to
develop basic and specialized grants management knowledge
and skills that result in the consistent and sensible application of
regulations, processes, and decisions in the grant programs
administered by WSFR.
The purpose of the Project Leaders Course is to increase the effectiveness of
project leaders in developing and managing projects funded through the grant
programs.
Course Objectives
Increase Project Leaders knowledge, skills, and/or abilities in:
1. Compliance requirements, especially NEPA and Section 7;
2. Writing project statements (narratives);
3. Writing/submitting performance reports;
4. Communicating, and coordinating with individuals/agencies involved with
WSFR grant programs;
5. General and specific grant program guidance;
6. Grant cost accounting processes.
USFWS – Wildlife and Sport Fish Restoration Program 2-1
Information Management Branch - National Training
Project Leaders Course 2008
13. Introduction to the Grants Management Process
Revised 03/03/2008
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08grantmgprocessgrantsmgtprocess.doc
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Handouts:
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USFWS – Wildlife and Sport Fish Restoration Program 3 - 0.0
Information Management Branch - National Training
Project Leaders Course 2008
14. Introduction to the Grants Management Process
Instructor Notes Revised 3/6/08
Review topic objectives.
Whether a grant program is a
permanent/indefinite appropriation or an annual
appropriation, apportioned by formula or
competitive, the State makes the decision to
participate in the program.
The State is notified of available funding either by
letter, via WSFR PROGRAM website or an
announcement on grants.gov.
Once the State decides to participate in a grant
program they must complete a grant application
package that complies with the program
requirements.
In our Advanced Course we go into more on how
this funding is made available to the
States/Territories and managing the program
funds.
USFWS – Wildlife and Sport Fish Restoration Program 3-1
Information Management Branch - National Training
Project Leaders Course 2008
15. Introduction to the Grants Management Process
Introduction to the Grants Management Process
Objectives:
1. Become familiar with the grants management process.
2. Understand the cooperation, communication, and coordination required to
support the grantee/Federal grant management system(s).
3. Describe the roles and responsibilities of grantee staff in the management
of WSFR Program grants.
4. Describe the roles and responsibilities of federal staff in the management
of WSFR Program grants.
USFWS – Wildlife and Sport Fish Restoration Program 3-1
Information Management Branch - National Training
Project Leaders Course 2008
16. Introduction to the Grants Management Process
Instructor Notes Revised 3/6/08
The first phase of the grants management
process is the Pre-Award phase. The State or
Grantee probably does some planning or
research to find the grant funding or somehow
determines there is a need that must be met or
can be met with grant funds.
Pre-Award: During this phase the grantee
develops and submits the application package,
may need to address ranking criteria if it is a
competitive program, address compliance
concerns such as eligibility matching
requirements and other compliance issues. The
RO reviews, coordinates/communicates with
grantee, approves grant. Competitive grants are
approved based on ranking and selection
process.
Award: Once decision is made to approve the
grant is awarded. An award letter is sent to the
grantee including the amount, terms and
conditions, and any special conditions. Funds
may also be obligated to the grant if available
(depending on grant program).
Post-Award: After awarded, work begins,
payments requested/received, manage, monitor,
modify grant (as needed), reporting, and
compliance concerns.
Close-Out: final reporting (performance and
financial, work completed, grant closes,
compliance concerns
Notice that compliance happens during all
phases of process (discuss in next unit).
Compliance may be related to grant program or
specific grant award (eligibility such as assent
legislation, civil rights, etc.). Compliance
responsibilities continue even after close out of a
grant. These include compliance, ongoing
monitoring and accountability.
Could include monitoring land use, transfer of
property, equipment, etc.
USFWS – Wildlife and Sport Fish Restoration Program 3-2
Information Management Branch - National Training
Project Leaders Course 2008
17. Introduction to the Grants Management Process
Grants Management Process
The grants management process follows the life cycle of a grant award. Various
activities are performed during each phase of the process to collect, evaluate and
document information to enable your agency to receive federal funds.
Consider your roles and responsibilities in the context of the processes involved
in applying for and managing WSFR Program grants throughout the life cycle of
the grant. In addition consider the people that you will interact and communicate
with to effectively manage WSFR Program grants.
Notes:
USFWS – Wildlife and Sport Fish Restoration Program 3-2
Information Management Branch - National Training
Project Leaders Course 2008
18. Introduction to the Grants Management Process
Instructor Notes Revised 3/6/08
On page X-3 let’s take about 10 minutes to
perform the activity on identifying roles and
responsibilities in the grants management
process. You may work individually or with a
partner to complete the table.
Using the toolkit look up the references:
Section 9 of the Wildlife Restoration Act
50 CFR 80
522 FW 2
Read or skim each reference looking for specific
or implied roles and responsibilities for managing
grants. The tasks are listed for you in the table.
From the references given determine if the Feds
or Grantee (State) is responsible and what
position in your organization or Federal office is
specifically responsible.
Debrief exercise discussing answers displayed in
the instructor manual.
Point out on the first task that understanding the
grant programs is important to proposing a
project that is eligible for funding under a grant
program. This was part of the key elements in
the E-Learning course on grant programs.
Where do these tasks fit into the Grants
Management Process?
Any additional tasks to add from participants?
Who in their agency (give name) performs these
tasks?
If they don’t know they need to find out when they
return to their office.
As we work through the grants management
process think about where your role fits into the
process and the people you might need to
communicate with.
USFWS – Wildlife and Sport Fish Restoration Program 3-3
Information Management Branch - National Training
Project Leaders Course 2008
19. Introduction to the Grants Management Process
Identifying Grants Management Roles and Responsibilities
Work individually or with a partner. Using the Toolkit, lookup and read Section 9
of the Wildlife Restoration Act, 50 CFR 80 and 522 FW 2. Look for references to
specific or implied roles and responsibilities for managing grants.
Exercise: Grant Management Roles and Responsibilities
Federal or
Task Who’s Involved?
Grantee?
Identify and propose projects Grantee Agency Leadership, WSFR
eligible for grant funding Coordinator and Project Leaders
and Field Staff
Ensure eligibility of Grantee Federal WSFR grant reviewer, FA
Regional Chief
Review and Approve Grant Federal WSFR Program grant reviewer
Proposal and FA Chief
Ensure compliance with Grantee WSFR Program grant reviewer,
Federal laws and regulations and Regional WSFR Chief, WSFR
Federal Coordinator, Agency Leadership,
Project Leaders, ES Biologist,
Request reimbursement for Grantee Agency Fiscal Staff
grant expenditures
Write and submit performance Grantee WSFR Coordinator – Project
report(s) Leader
Monitor sub-grantee Grantee WSFR Coordinator – Project
compliance Leader – Agency Fiscal Staff
Accomplish the objectives of Grantee WSFR Coordinator – Project
the project Leader – Agency Fiscal Staff
Conduct audits for compliance Federal DOI OIG (Contracted Auditor)
with program guidance Grantee Agency Independent Auditor, State
Single Auditor, EEO
Ongoing monitoring of land use Grantee Agency Leadership, WSFR
issues Coordinator, Agency Fiscal Staff,
Agency Real Estate Staff
Review policies and make Both JTF – list of members on WSFR
recommendations for website
clarifications to USFWS
Director
USFWS – Wildlife and Sport Fish Restoration Program 3-3
Information Management Branch - National Training
Project Leaders Course 2008
20. Introduction to the Grants Management Process
Instructor Notes Revised 3/6/08
WSFR website provides list of JTF members
http://wsfrprograms.fws.gov/Subpages/
Policy/JTF_members.htm
Many people are involved on each side. As we
work through the course we will take a look at the
people involved in each part of the grants
management process. We will also discuss the
value of communication with everyone involved.
USFWS – Wildlife and Sport Fish Restoration Program 3-4
Information Management Branch - National Training
Project Leaders Course 2008
21. Introduction to the Grants Management Process
Learning Points
The Grants Management Process is a logically organized set of procedures to
collect, evaluate, and document specific information to enable the flow of
Federal grant funds to your agency.
The primary role/responsibility of the Grantee is to initiate and implement the
grant.
The Federal role is to review and approve grants and to provide oversight of
the program.
Many people, Federal and State, are involved in the grants management
process.
Coordinators, project leaders and financial staff within the grantee
organization have roles and responsibilities in the grants management
process that require communication and cooperation to effectively and
efficiently manage grants.
Effective communication among the Federal and grantee staff involved in the
grants management process is essential for success.
USFWS – Wildlife and Sport Fish Restoration Program 3-4
Information Management Branch - National Training
Project Leaders Course 2008
23. An Overview of Compliance Issues
Revised 03/03/2008
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Handouts:
NEPA Process
Section 7 Process
USFWS – Wildlife and Sport Fish Restoration Program 4 - 0.0
Information Management Branch - National Training
Project Leaders Course 2008
24. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
Discuss the objectives.
In this module we’ll begin with the phases of
the grants management process and follow
that for the remainder of the course.
We’ll start with taking a look at the
compliance issues that exist in the rules and
regulations, and the various levels of
compliance and specific issues affecting
grant programs administered by WSFR
Program.
As you see from the graphic, compliance
occurs throughout the process and some of
the compliance requirements continue even
after the grant is over.
Some of the compliance requirements have
specific documentation processes such as
forms, certifications, etc., and some may
need to be completed prior to applying for a
grant or at the time of application. In other
cases grantees agree to comply with the
requirements. The compliance requirements
may be reviewed during site visits, program
reviews or audits.
As we discuss the compliance requirements
think about when you would need to address
it in the process, the documentation and the
people you need to communicate or
coordinate with to meet the requirements.
USFWS – Wildlife and Sport Fish Restoration Program 4-1
Information Management Branch - National Training
Project Leaders Course 2008
25. An Overview of Compliance Issues
An Overview of Compliance Issues
Objectives:
1. Describe the different levels of legal responsibilities associated with the
grant programs administered by Wildlife and Sport Fish Restoration
Program.
2. Determine federal compliance issues that exist in addition to general grant
administrative requirements and the enabling legislation.
3. Identify and discuss specific documentation requirements that exist for
several compliance requirements.
4. Explain the purposes and general requirements of the Statement of
Assurances.
5. Discuss the compliance requirements for various program and project
types.
USFWS – Wildlife and Sport Fish Restoration Program 4-1
Information Management Branch - National Training
Project Leaders Course 2008
26. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
Grant programs are enabled by Congress
through authorizing legislation or Acts.
In its enabling legislation each grant program has
specific compliance and eligibility requirements.
Recall from your pre-course work on WSFR
Program grants the many compliance and
eligibility requirements (considered key
elements). Also, you may review the grant
program worksheets.
Compliance begins with the authorizing
legislation and is found throughout the grants
management process in complying with federal
rules and regulations.
Who are the eligible grantees? States and
Territories. Tribal grants are administered by
External Affairs with help from WSFR. This
compliance determination occurs prior to the Pre-
Award phase before an applicant can apply for
the grant program.
Recall some of the other requirements and
mandates of programs administered by WSFR
Program. These were reviewed in the key
elements. These are probably ongoing
monitoring issues throughout the GMP.
SFR – FW/Marine split, assent legislation,
aquatic education, boating access.
WR – Hunter Ed Sec 4/10, assent legislation.
SWG – Plan
USFWS – Wildlife and Sport Fish Restoration Program 4-2
Information Management Branch - National Training
Project Leaders Course 2008
27. An Overview of Compliance Issues
Act Specific Compliance Requirements
Each grant program has specific compliance and eligibility requirements in its
enabling legislation. As part of your pre-course work you completed the Review
of Wildlife and Sport Fish Restoration Program grants online module, which
highlighted many of the compliance and eligibility requirements.
• Purpose of the Grant Program
• Eligible Grantees
• Eligible / Ineligible Projects and Activities
• Spending Mandates, Matching Requirements, Funding Limitations
• Special Conditions
• Governing Guidance (CFR, Rules, etc.)
Notes:
USFWS – Wildlife and Sport Fish Restoration Program 4-2
Information Management Branch - National Training
Project Leaders Course 2008
28. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
In addition to enabling legislation all WSFR
grant programs must comply with 43 CFR
Part 12 – Admin, Audit & Cost Principles.
And each grant program has a specific CFR
that governs that program. If the program is
new it may not have a CFR but instead will
have final guidance published in the Federal
Register until a CFR is written.
While the Acts are the big picture, CFRs get
more specific. The CFRs may reference
other federal requirements, CFRs and/or
OMB circulars.
Assign participants to groups and assign
each group a CFR or Final Program
Guidance to review.
Have participants describe their observations
about the scope of the guidance contained in
the regulation.
Ask groups to share their observations point
out some common compliance requirements.
Follow up by asking if some of the same
requirements found in the Acts were also
found in the CFR/Program Guidance.
Point out that the CFR/Policy Guidance is
written from the Acts, same compliance
requirements may be found in several
places.
Participants may see assurances
requirement in all guidance, 80.21, 81.9,
84.50, 85.48, 86.55
USFWS – Wildlife and Sport Fish Restoration Program 4-3
Information Management Branch - National Training
Project Leaders Course 2008
29. An Overview of Compliance Issues
Governing Regulations and Administrative Regulations
All grants administered by Wildlife and Sport Fish Restoration Program are
governed by 43 CFR Part 12 Subpart C referred to as the Common Rule. This
contains all of the Department of Interior Administrative, Audit and Cost Principle
requirements for financial assistance programs. 43 CFR Part 12 incorporates
OMB Circulars as well as guidance such as manuals issued by the agency
administering the financial assistance program.
In addition most grant programs are governed by federal regulations in the form
of the Code of Federal Regulations (CFR) and/or Federal Acquisition Regulation
(FAR). If a program is new it may not have a CFR but instead have final
guidance published in the Federal Register.
Using the Toolkit review the Federal Regulations (CFR/FAR or Final Program
Guidance) assigned to your group. Review the section titles and list the type of
compliance related guidance contained in the regulation.
1. 43 CFR 12 Subpart C
Financial & administrative, application forms, allowable costs, matching funds
program income, audits.
Pertains to all programs administered by WSFR.
2. 50 CFR 80
WR & SFR Programs. Administrative requirements, matching, mandates,
license certification requirements, responsibilities, reporting.
3. 50 CFR 81
Endangered Species – Sec 6. ESA, federal laws & assurances, coop
agreements with States
4. 50 CFR 84
National Coastal Wetlands. Eligibility, conditions, reporting
USFWS – Wildlife and Sport Fish Restoration Program 4-3
Information Management Branch - National Training
Project Leaders Course 2008
30. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
USFWS – Wildlife and Sport Fish Restoration Program 4-4
Information Management Branch - National Training
Project Leaders Course 2008
31. An Overview of Compliance Issues
Governing Regulations and Administrative Regulations (continued)
5. 50 CFR 85
CVA. Requirements for participation, record keeping, reporting, application,
cost share, allowable costs, fees collected.
6. 50 CFR 86
BIG. Ranking criteria, facilities, assurance statement.
7. LIP Guidance
25% matching, Sec 7/NEPA, land, floodplain.
8. SWG Guidance
Comply with 43 CFR 12, OMB A-87, A-133, A-102, NEPA, Sec 7, Plan by
10/1/05.
USFWS – Wildlife and Sport Fish Restoration Program 4-4
Information Management Branch - National Training
Project Leaders Course 2008
32. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
In the guidance we just reviewed one of the
compliance items referenced was the Statement
of Assurances. The Statement of Assurances is
submitted as part of the grant application
package. It’s a standard form that is required, SF
424 B or SF 424 D, construction & non-
construction.
Most ROs allow one statement of assurances to
be submitted annually for all SFR/WR/SWG grant
programs. See 522 FW 1.3 B.
Competitive grants may need to submit the
assurances with each grant since those grants
are usually nationally competitive. Check with
RO.
What is a statement of assurances? It is a legal
contract obligating your agency to abide by all
applicable federal rules.
If applying electronically the statement of
assurances will be submitted electronically and
signed electronically.
Let’s take a look at the requirements on the
statement of assurances.
Assign table groups to summarize one of the
following assurances: 1, 2, 3, 4, 6, 8, 11, 13.
You will notice that some of these assurances were also listed in the Act/Program
Guidance and will also be listed in the Service Manual Chapters. Compliance
requirements may be repeated or overlap in several different places.
Assurance #7 (424B) refers Uniform Relocation same as Admin requirement in 523 FW
1.
Assurance #8 (424B) Hatch Act is related to Lobbying restrictions in 43 CFR 18.
Assurance #18 (424B) covers any other federal requirements.
What happens if grantee does not comply?
Funding would cease, expenditures would not be reimbursed, future grant funding at
risk, audit findings.
What triggers compliance? Accepting the federal funds.
USFWS – Wildlife and Sport Fish Restoration Program 4-5
Information Management Branch - National Training
Project Leaders Course 2008
33. An Overview of Compliance Issues
Exercise: Statement of Assurances
Work as a group to review the Statement of Assurances. Use the Statement of
Assurances forms found in the Toolkit (SF424B, SF424D).
1. Read the assurance that is assigned to your group and be prepared to give a
one sentence summary.
OMB Circular A-102 (c) (3) requires use of SF 424 D (Construction) for land
acquisition grants.
2. What happens if the grantee does not comply with the laws or regulations
listed on the Statement of Assurances?
Funding would cease, expenditures would not be reimbursed, future
Grant funding will be at risk, audit findings.
Statement of Assurances
50 CFR 80.21 Sport Fish and Wildlife Restoration
50 CFR 81.9 Endangered Species
50 CFR 84.50 Coastal Wetlands
50 CFR 85.48 Clean Vessel Act
50 CFR 86.55 Boating Infrastructure Grant Program
Administrative Requirements Federal Aid in Fish and
522 FW 1.3 B Federal Aid in Wildlife Restoration (annual submission of
one for all SFR/WR grants)
USFWS – Wildlife and Sport Fish Restoration Program 4-5
Information Management Branch - National Training
Project Leaders Course 2008
34. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
We mentioned the Hatch Act and Lobbying
when we went over the Assurances #8.
Federal funds cannot be used to lobby.
However, State funds may be used to lobby
for a particular grant. If the State does lobby
for a particular grant then the State must
disclose this information by using a Standard
Form (SF) LLL. This must be submitted with
the grant application.
Until recently there was a certification form
that had to be completed for lobbying,
debarment/suspension (523 FW 1.2 D and
43 CFR 12.100-12.510) and Drug-Free
Workplace (523 FW 1.2 D and 43 CFR
12.600-12.635). The form was DI-2010. It is
no longer required.
USFWS – Wildlife and Sport Fish Restoration Program 4-6
Information Management Branch - National Training
Project Leaders Course 2008
35. An Overview of Compliance Issues
Disclosure of Lobbying Activities
Federal funds cannot be used by the grantee or paid by the grantee to any
person for influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, and officer or employee of Congress, or an
employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant,
loan, or cooperative agreement.
Funds other than Federal funds may be used for lobbying. However, if any funds
other than Federal funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the Federal contract, grant, loan, or
cooperative agreement (currently being submitted), the grantee must complete
and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
Notes:
USFWS – Wildlife and Sport Fish Restoration Program 4-6
Information Management Branch - National Training
Project Leaders Course 2008
36. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
Now we’ve looked at compliance in the
Acts/Enabling Legislation, the CFR (Common
Rule) and the CFR for the specific grant
programs, the Statement of Assurances and the
Lobbying disclosure forms that must be
submitted with the grant application package.
The next guidance we’ll be discussing is in the
FW Service Manual Chapters. Part 523 FW 1,
Compliance Requirements and Part 522
Chapters 3 through 15. These chapters apply to
all FA grant programs.
Have participants review 523 FW 1 Compliance
Summary for overview of compliance
requirements by category.
Debrief using slides showing 4 categories and
items within each category.
Non-discrimination
Environmental
Historic & Cultural preservation
Administrative
Chapter 1 of Part 523 contains a summary of compliance. This does not include all
compliance requirements. You can see that some of these items were also listed on
the statement of Assurances. Would all of these Acts and Executive Orders apply to all
types of projects? It depends on the specific type of work being performed or the type
of project. However, you must consider all of them when applying for and managing
your grant.
Also, think about when you might need to consider them in the Grants Management
Process. It could be at the time of application, or if you make a change to work being
performed and should be monitored throughout the grant.
Depending on the type of grant/project you’re working on it might require more
documentation for some of the Acts/Orders we just reviewed. What about NEPA,
Section 7, SHPO?
What types of projects might be impacted by those Acts? Construction?
We’ll talk more about NEPA and Section 7 processes and documentation in a few
minutes.
USFWS – Wildlife and Sport Fish Restoration Program 4-7
Information Management Branch - National Training
Project Leaders Course 2008
37. An Overview of Compliance Issues
Compliance Requirements Summary
Using the Toolkit review Service Manual Chapter 523 FW 1 Compliance
Summary.
Summarize the requirements by listing the four broad categories of compliance
requirements shown in 523 FW 1.2.
1. Non-discrimination
2. Environmental – depending on work performed may require additional
consideration and documentation in grant application package.
NEPA/Section 7 documented in Project Statement.
3. Historic & Cultural Preservation - depending on work performed may
require additional consideration and documentation in grant
application package. Documented in Project Statement or letter.
4. Administrative – may require documentation such as program income
disposition, matching funds.
USFWS – Wildlife and Sport Fish Restoration Program 4-7
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38. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
The work being performed in the grant or the
project type may have specific project
dependent compliance that must be
considered and documented in the grant
application package or other phases of the
grants management process.
The FW Service Manual Part 522 includes a
chapter for each project type.
Split into groups, have each group review a
chapter and provide info or do as class
discussion exercise.
Discussion Points:
Permits - attachments
ADA Cultural Resources
NEPA/Section 7
NEPA and Section 7 must be documented in
the Project Statement in enough detail for the
grant reviewer to make determinations and
complete documentation.
(More on NEPA/Section 7 – if included in
PLC).
USFWS – Wildlife and Sport Fish Restoration Program 4-8
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Project Leaders Course 2008
39. An Overview of Compliance Issues
Program and Project Dependant Compliance (522 FW 1.4 and 1.7)
Using the Toolkit review Service Manual Chapters in Part 522 Federal Aid
Program Guidance and list the compliance requirements that should be
considered for the project types or grant work being performed. Cite the
references used and the phase of the grants management process the
compliance should be addressed.
1. Grant to purchase land.
Chapter 6.7 A, B, C
2. Grant for construction of facilities.
Chapter 10
Uniform Relocation Assistance & Real Property Acquisition Policies Act of
1970, National Historic Preservation Act of 1966, Section 504 Rehabilitation
Act of 1973, NEPA, SHPO ADA, Coastal Zone, ES, Coastal Barriers.
3. Research grant.
Chapter 11
4. Coordination grant.
Chapter 3
Animal Welfare Act of 1985 (does not include fish),
Endangered Species Act, NEPA
5. Hunter Education grant.
Chapter 13
Civil Rights
USFWS – Wildlife and Sport Fish Restoration Program 4-8
Information Management Branch - National Training
Project Leaders Course 2008
40. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
While all compliance requirements must be
met, you can see that some require specific
documentation that are either submitted with
the grant application or kept with the grant
records. Proof of compliance may be
required during audits.
A grant application cannot be approved
without the compliance issues being
addressed and documented.
We will continue to discuss compliance
requirements throughout the grants
management process.
USFWS – Wildlife and Sport Fish Restoration Program 4-9
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Project Leaders Course 2008
41. An Overview of Compliance Issues
Compliance Documentation
As a consequence of accepting Federal funds, States and other grantees must
comply with all applicable Federal laws, regulations and policies.
Compliance with some requirements must be documented with specific
supporting documents and/or using specific processes. These documentation
requirements will vary by program and/or project type. Other requirements are
part of all phases within the grants management process.
Check the Service Manual and other guidance documents for specific
requirements.
Notes:
Information for projects allocated between programs, Boating Access,
Hunter Education, Aquatic Education along with matching.
Coastal States should provide an allocation of costs for projects having
both marine and freshwater fisheries benefits. Split is based on # of anglers
either from National Survey or a State’s own survey, see 50 CFR 80.23.
Assurances, permits, appraisals, NEPA, Endangered Species, State
process documents.
This may be called “Other Supporting Documents.”
USFWS – Wildlife and Sport Fish Restoration Program 4-9
Information Management Branch - National Training
Project Leaders Course 2008
42. An Overview of Compliance Issues
Instructor Notes Revised 3/6/08
Review learning points.
More about NEPA/Section 7 or go to Pre-
Award.
Now that we have an idea of the compliance
requirements that exist during the grant
process, in the next module we’ll begin Pre-
Award, actually looking at the documents and
considerations when applying for a grant.
USFWS – Wildlife and Sport Fish Restoration Program 4 - 10
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Project Leaders Course 2008
43. An Overview of Compliance Issues
Learning Points
Compliance requirements are found in the enabling legislation, governing
program guidance, administrative requirements and the Service Manual
Chapters.
Compliance requirements must be addressed to receive funding for a grant.
Compliance requirements include administrative, environmental, historical
and cultural and non-discrimination.
The Statement of Assurances ensures the reviewer the grantee is aware of
the need for compliance with the laws and regulations listed on the assurance
form.
A signed Statement of Assurances form is a legal contract obligating the
grantee to abide by all applicable federal rules.
Compliance requirements will vary depending upon the grant program and
project type.
Information must be included in project statement for WSFR staff to make
compliance determinations for NEPA and Section 7 as well as any other
compliance requirements.
USFWS – Wildlife and Sport Fish Restoration Program 4 - 10
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Project Leaders Course 2008
45. National Environmental Policy Act
Revised 03/03/2008
Filename: c:documents and settingsdunbehagenmy
documentscourse_modules02-08compliancenepa.doc
Enter Name of Course:
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Handouts:
NEPA Process & Documentation chart
USFWS – Wildlife and Sport Fish Restoration Program 4a - 0.0
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Project Leaders Course 2008
46. National Environmental Policy Act
Instructor Notes Revised 3/6/08
USFWS – Wildlife and Sport Fish Restoration Program 4a - 1
Information Management Branch - National Training
Project Leaders Course 2008
47. National Environmental Policy Act
National Environmental Policy Act
Objectives:
1. Understand the NEPA documentation process.
2. Identify the issues that prevent using categorical exclusions.
3. Explain the steps involved in preparing an environmental assessment.
USFWS – Wildlife and Sport Fish Restoration Program 4a - 1
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Project Leaders Course 2008
48. National Environmental Policy Act
Instructor Notes Revised 3/6/08
NEPA, as part of the compliance process, is a
safeguard for reviewing proposed Federal
Actions and assessing the impact they will have
on the human environment.
Since approving a grant is a federal action,
activities, jobs, etc. that are funded with Federal
grant dollars must undergo NEPA scrutiny and
documentation.
WSFR is responsible for preparing the
administrative record for complying with NEPA or
requiring the preparation of additional
environmental documents (EA or EIS) if needed.
The NEPA Process & Documentation chart
represents this decision making process. See
handout.
The State plays a key role in the NEPA process
by providing adequate information and
documentation for WSFR to make a decision and
document NEPA compliance. No federal funds
can be used on a project until a NEPA decision is
made & documented.
WSFR will use the information provided by the
State in the project statement (part of application
package) to gather information to review and
evaluate the proposed work, the scope of the
project, the impact on the human environment
and any public controversy or interest that may
be generated. Based on this review and
evaluation a decision is made whether to
Categorically Exclude the project or initiate
further environmental reviews and decisions.
Actions that can be categorically excluded fit
within the Cat Ex lists if no extraordinary
circumstances are triggered. Categorical
exclusions are classes of actions which do not
individually or cumulatively have a significant
effect on the human environment.
If a Categorical Exclusion is made WSFR will
document it with the NEPA Compliance Checklist
as the administrative record and the grant will be
approved.
USFWS – Wildlife and Sport Fish Restoration Program 4a - 2
Information Management Branch - National Training
Project Leaders Course 2008
49. National Environmental Policy Act
Complying with the National Environmental Policy Act (NEPA)
The purpose of the NEPA process is to consider detailed information concerning
every significant environmental impact on the human environment, which is
defined as the natural and physical environment and the relationship of people to
the environment. Additionally, the process ensures the public plays a role in both
the decision-making process and the implementation of that decision.
Compliance with the NEPA process is relatively simple and unimposing for the
majority of work proposed under grant programs administered by WSFR.
However, the process does require that a specific set of logical steps be followed
and documented to support conclusions about effects grant work will have on the
human environment.
The general flow for documenting the NEPA decision is depicted on the NEPA
Process & Documentation chart in your workbook. Working through the NEPA
decision making process requires evaluating several factors before implementing
federally funded work projects.
NEPA Factors:
• Project Scope
• Potential for Significant Impact on the Human Environment
• Public Interest and/or Controversy Generated
The effect of these factors determines which of the three documentation
processes must be followed in complying with NEPA requirements.
Adequate information must be provided in the project statement (approach) for
the WSFR Regional Office to make a determination.
NEPA Compliance
Service NEPA Guidance to States Participating in The Federal Aid
Handbook Program
Director’s Director’s Order 127, National Environmental Policy Act
Orders Compliance Checklist
General NEPA Reference Handbook (USFWS)
Guidance
USFWS – Wildlife and Sport Fish Restoration Program 4a - 2
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Project Leaders Course 2008
50. National Environmental Policy Act
Instructor Notes Revised 3/6/08
Take a look at the guidance used in making a
Cat X and review the sections.
This will give you an idea of the type of
information WSFR needs in the project
statement to make a Cat X determination.
DOI 516 DM 6 was replaced with 516 DM
8.5.
USFWS – Wildlife and Sport Fish Restoration Program 4a - 3
Information Management Branch - National Training
Project Leaders Course 2008
51. National Environmental Policy Act
Reviewing Categorical Exclusions
Using the Toolkit review Director’s Orders – Rules – Policy – Interim
Guidance>Final Rule>Categorical Exclusions, and answer the questions
below.
1. Which section of the final rule contains the list of categorical exclusions?
1.4
2. Review each of the following sections, and list several categorical exclusions
for each.
General
Amendments, educational activities, not involving new construction or
major additions to existing facilities, purchase of real property, procedures.
Resource Management
Research, inventory, info collection, O&M, some construction to existing
facilities, prescribed burns, fire mgmt, stocking, minor changes
Permit and Regulatory Functions
Permits endangered & threatened species, ESA permits, special regs,
limited additional right of way use,
Recovery Plans
Issuance of recovery plans
Financial Assistance
Grants & cooperative agreements for planning or categorically excluded in
previous sections.
USFWS – Wildlife and Sport Fish Restoration Program 4a - 3
Information Management Branch – National Training
Project Leaders Course 2008
52. National Environmental Policy Act
Instructor Notes Revised 3/6/08
If the project involves new construction and/or
other specific disruptions in the environment, it
may require additional documentation prior to
making a NEPA decision. The steps for
continuing the process may require that an
Environmental Assessment be conducted. An EA
may take 3 to 6 months to prepare, then has to
be reviewed/commented on by public.
See handout.
Depending on outcome an EIS may be required.
This is a lengthy process that may take years and
many staff hours.
Remember that unlike ES (will discuss next) only
Federal Actions are covered by NEPA. If you
have to take this to the next step of EIS you may
want to consider 100% State funding for those
projects if they’re going to involve an EIS.
If you are applying for Federal financial
assistance or making changes in scope of work
to an existing grant, enough information needs to
be provided in the project statement concerning
the environmental effects as necessary to satisfy
WSFR requirements to comply with NEPA.
States may want to review the NEPA Checklist
for the elements WSFR is evaluating – Checklist
can be found as Appendix G to DO #127.
Review the learning points.
USFWS – Wildlife and Sport Fish Restoration Program 4a - 4
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Project Leaders Course 2008
53. National Environmental Policy Act
Learning Points
The NEPA process is assessing a project’s impact on the human
environment.
Federal funds can not be used on a project until a NEPA decision is made
and documented.
The three types of documentation processes are the NEPA checklist,
Environmental Assessment, and Environmental Impact Statement.
The scope, potential for significant impact on the human environment, and the
public interest and/or controversy of a project will determine the
documentation process.
USFWS – Wildlife and Sport Fish Restoration Program 4a - 4
Information Management Branch – National Training
Project Leaders Course 2008
55. Section 7 of the Endangered Species Act
Revised 03/03/08
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Handouts:
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Information Management Branch – National Training
Project Leaders Course 2008
56. Section 7 of the Endangered Species Act
Instructor Notes Revised 3/6/08
The Endangered Species Act applies to
everyone, regardless of funding.
USFWS – Wildlife and Sport Fish Restoration Program 4b - 1
Information Management Branch – National Training
Project Leaders Course 2008
57. Section 7 of the Endangered Species Act
Section 7 of the Endangered Species Act
Objectives:
1. Determine the information needed in the project statement to evaluate the
impact on listed, proposed to be listed, candidate species and/or critical
habitat.
2. Discuss the importance of this information in the Section 7 evaluation
process.
USFWS – Wildlife and Sport Fish Restoration Program 4b - 1
Information Management Branch – National Training
Project Leaders Course 2008
58. Section 7 of the Endangered Species Act
Instructor Notes Revised 3/6/08
As part of the NEPA process (number 8 in the
checklist) more specific documentation is
required about the endangered species aspect of
any federal project or grant and if it will have a
specific effect on an endangered species or its
critical habitat.
Section 7 of Endangered Species Act is to
ensure that there are no endangered or
threatened species present or if present that the
project will not impact the species. WSFR must
document based on information provided by the
State.
Mention that the ES Consultation Handbook is in
the Toolkit.
Information must be included in the project
statement or grant cannot be approved.
Adverse actions may require more thorough
consultations with FWS ES personnel.
Establishing this record of action is important to
the continuity of the grant if it comes under legal
review.
Review handout – Section 7 Compliance
Process.
USFWS – Wildlife and Sport Fish Restoration Program 4b - 2
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Project Leaders Course 2008
59. Section 7 of the Endangered Species Act
Reviewing Endangered Species Act Requirements
Using the Toolkit, review Service Manual Chapters>Part 523 Compliance
Requirements>Chapter 1 Summary. Click on the link Endangered Species Act
of 1973 listed under Section B Environmental Requirements.
What are the requirements regarding endangered species for WSFR projects?
RD must ensure that WSFR Program projects are not likely to jeopardize the
continued existence of endangered or threatened species or result in the
destruction or adverse modification of critical habitat. For projects which may
affect an endangered or threatened species, either beneficially or adversely, a
formal Section 7 consultation is necessary. The State is required to name the
listed species and/or critical habitat included, list the name, description,
and location of the area, list the objectives of the action, and provide
an explanation of the impacts of the actions listed on a
Listed species or critical habitat.
The Wildlife and Sport Fish Restoration Program Regional Offices work with
regional endangered species staff and grantee coordinators to make
determinations of impact and establish a record of action. The general decision
making process is depicted by the Section 7 Compliance Process flow chart.
Section 7 of Endangered Species Act
Congressional Endangered Species Act
Acts
General Endangered Species Consultation Handbook
Guidance
FW 523 1.9 Fish and Wildlife Service Manual
USFWS – Wildlife and Sport Fish Restoration Program 4b - 2
Information Management Branch – National Training
Project Leaders Course 2008
60. Section 7 of the Endangered Species Act
Instructor Notes Revised 3/6/08
Information must be included in the grant’s
project statement concerning impact of actions or
the grant cannot be approved.
Adverse actions may require more thorough
consultations with FWS ES personnel.
This is information that should be included in the
project statement by the State.
USFWS – Wildlife and Sport Fish Restoration Program 4b - 3
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Project Leaders Course 2008
61. Section 7 of the Endangered Species Act
Complying with Section 7 of the Endangered Species Act
Complying with Section 7 of the Endangered Species Act requires evaluation of
impacts of action(s) on listed, proposed to be listed, candidate species/critical
habitat.
Identify Action:
“Action(s)” represent either project(s) or job(s), depending on the specificity
needed to adequately document impacts to federally endangered and/or
threatened species/critical habitat. If a grant is comprised of several “action(s)”
(e.g., projects covering habitat management, population manipulations, resource
assessments, outreach, land acquisition, research, and surveys), then each
project represents a distinct “action” requiring a separate description and
recommendation.
If a grant is comprised of one project or job (e.g., herpetological atlas), only that
one action requires a description and recommendation.
Describe Action(s) and Location:
Provide a concise but complete description of the action, and include location of
work. For example, several sport fish species indigenous to waters of the State
are spawned, hatched, reared, and stocked out to restore or sustain populations.
Recommendation:
For grants with several action(s), identify a unique recommendation for each
action; e.g., identify projects/jobs with land acquisition as “No Species Present”
or “No Effect”, non-destructive data collection as “No Effect”, and Section 6 as
“Not Likely to Adversely Affect”.
No Species Present: Self-explanatory, this is the correct recommendation when
no federally listed or candidate species/critical habitat within the action area.
Species Present:
No Effect: List all federally listed species/critical habitat in the action area,
and explain why action(s) has No Effect.
Is Not Likely to Adversely Affect: List all federally listed species/critical habitat in
the action area, and explain rationale for recommendation by including the
following information: (I) species status such as population trends or distribution
in the action area, (ii)habitat status such as whether its critical or non-critical,
species use it for breeding, migrating, or foraging, (iii) how will the action impact
species/habitat (consider direct, indirect, interdependent, interrelated, and
cumulative impacts).
USFWS – Wildlife and Sport Fish Restoration Program 4b - 3
Information Management Branch – National Training
Project Leaders Course 2008
62. Section 7 of the Endangered Species Act
Instructor Notes Revised 3/6/08
Review learning points.
USFWS – Wildlife and Sport Fish Restoration Program 4b - 4
Information Management Branch – National Training
Project Leaders Course 2008
63. Section 7 of the Endangered Species Act
Learning Points
The NEPA process requires documenting the effect a project has on
endangered species.
The Section 7 process supports the NEPA decision.
Establishing a record of action is important to the continuity of the grant if it
comes under legal review.
USFWS – Wildlife and Sport Fish Restoration Program 4b - 4
Information Management Branch – National Training
Project Leaders Course 2008
65. Pre-Award: Developing and Reviewing the Project Statement
Revised 03/03/08
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plcworkbook5_projectstatement_detail.doc
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Handouts:
Example project statements
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Project Leaders Course 2008
66. Pre-Award: Developing and Reviewing the Project Statement
Instructor Notes Revised 3/6/08
Review objectives for topic.
As you can see there are many issues that
need to be considered when applying for a
federal grant. Part of being successful in
managing your grant is covering these issues
up front and having checks and balances in
place throughout the grant award.
This begins in the pre-award phase when the
applicant begins gathering the information
and completing the documentation required
in the grant application package that will be
submitted to the RO.
In this module we’ll start looking at the
project statement, one of the documents
required in the grant application package.
The project statement is probably the most
important document in the package.
It may also be called the project narrative.
USFWS – Wildlife and Sport Fish Restoration Program 5-1
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Project Leaders Course 2008
67. Pre-Award: Developing and Reviewing the Project Statement
Pre-Award: Developing and Reviewing the Project Statement
Objectives:
1. Identify and explain the components of the project statement/narrative.
2. Determine if the proposal is substantial in character and design.
3. Determine if the project statement/ narrative meets minimum
requirements.
4. Determine if enough information is included in project statement to
satisfy NEPA and Section 7 compliance requirements.
USFWS – Wildlife and Sport Fish Restoration Program 5-1
Information Management Branch - National Training
Project Leaders Course 2008
68. Pre-Award: Developing and Reviewing the Project Statement
Instructor Notes Revised 3/6/08
The project statement or narrative identifies the
need and describes the work to be accomplished.
There’s not a standard format; however there are
required elements described in the federal
regulations.
If submitting electronically this will be submitted
as an attachment.
Cover the elements of the project statement:
Need – Why? Evidence? How was it determined? Lays ground work for everything else.
Objective – What will be accomplished by addressing Need? Don’t confuse with
approach of how.
Expected Results – Benefits to public
Approach – How is this going to be accomplished?
Location of work – Where?
Estimated Cost - $$ Budget
If it is a competitive grant there may be other criteria you wish to address in the project
statement or narrative. You should review the guidance for the grant program you are
applying for.
Keep in mind, Project Statements should be clear and concise!
You don’t want to throw everything into the project statement. More is not necessarily
better, only if it is pertinent to the project.
Now, let’s take a look at each element of a project statement in detail.
USFWS – Wildlife and Sport Fish Restoration Program 5-2
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Project Leaders Course 2008
69. Pre-Award: Developing and Reviewing the Project Statement
Definition of a Project Statement
A project statement or narrative identifies the need and describes the work to be
done. It is required for each project to be funded in a grant. Grantees may use
their own format for the project statement/narrative. Project statements must
contain all elements required in the program guidance.
Competitive grant programs contain additional requirements used to evaluate
and rank grant applications. Specific program guidance should be reviewed for
ranking criteria.
Required Elements of a Project Statement
A. Need ----- Why?
B. Objective ---- What?
C. Expected Results --- Benefits?
D. Approach --- How?
E. Location of Work --- Where?
F. Estimated Cost --- $$$
Project Statement
522 FW 1.3 Federal Aid Program Guidance
50 CFR Part Administrative Requirements Federal Aid in Fish and
80.13 Federal Aid in Wildlife Restoration
Policy / Program Guidance for specific grant program
USFWS – Wildlife and Sport Fish Restoration Program 5-2
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Project Leaders Course 2008
70. Pre-Award: Developing and Reviewing the Project Statement
Instructor Notes Revised 3/6/08
Need - is the part of the project statement that
lays the ground work or the rationale for under-
taking the project.
Why is the project being done? Why your
agency is dealing with the problem or issue?
The Need must be related to the program and
eligible under the enabling legislation.
It is important to identify and write a good need
statement. All elements in the project statement
must connect.
How was it determined or identified? What is driving the need? How does State identify
need, how does it fit into State planning process?
Agency has legal authority or mandate? Was need identified through public meetings?
Nuisance reports from public?
Evidence to support the need? Supply/demand? This should be documented with data
collected, historical, geographic, quantitative, cultural, economic, factual or statistical.
May want to add tables or data in appendixes instead of listing it in the need. Agency
strategic plan?
Give a clear and concise explanation of the need especially in competitive grants.
Objectives must relate to the need stated earlier.
Objectives - Specify exactly what you hope to
accomplish given the time, funding, and staff.
Must relate to need – intended accomplishments
during the grant period.
Should be measurable or verifiable.
Time Bound – Specify a date everyone recognizes as the time frame the objective will
be achieved.
Objectives should be output / benefit oriented. Realistic – As to time, funds and
personnel. Accomplishments must be measurable or verifiable to meet or solve the
need.
Don’t confuse with approach. Should be clear, concise, specific, measurable, attainable
and realistic to address need. Be sure you are able to report accomplishments based
on these objectives for reporting purposes. Think ahead!
USFWS – Wildlife and Sport Fish Restoration Program 5-3
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Project Leaders Course 2008
71. Pre-Award: Developing and Reviewing the Project Statement
Defining the Required Elements of a Project Statement
NEED
• Why is the project being undertaken?
• How does the identified need relate to the grant program?
• Describe the supply and demand aspects.
• What evidence is there about the need?
Notes:
Increase habitat – why? Not a good need. Protect & conserve species.
Build additional BA ramps – why? Provide access to an identified water body.
Is it for anglers to have access? How was it determined? Prescribed burns?
Provide X number of acres of habitat.
Easier to write measurable objectives & expected results tied to need.
OBJECTIVES
• What measurable or tangible accomplishments are going to be reached by
the end of the grant period that will address the NEED(S)?
o Specify exactly what you hope to accomplish.
o Specify a date everyone recognizes as the time period in which it
will be accomplished.
o Output / Benefit Oriented
o Realistic given the time, funds and personnel
o Accomplishments must be measurable or verifiable.
Notes:
If need was to provide additional angler access – objective could be to build
a number of BA ramps that will provide X number of days of angler access or
Opportunities. Answer the need. Burns – to provide X number of acres of
habitat.
USFWS – Wildlife and Sport Fish Restoration Program 5-3
Information Management Branch - National Training
Project Leaders Course 2008
72. Pre-Award: Developing and Reviewing the Project Statement
Instructor Notes Revised 3/6/08
Spells out what benefits you expect from solving
or addressing the need. Outcome to people
using the resource
What are the benefits of solving the need?
How will the work benefit a variety of individual
interests (stakeholders).
Take into consideration the outcome
requirements or overall success attributed to the
project by accomplishing the objectives.
How will it be measured? Increased use,
economic, access, recreational opportunity?
Presents in detail exactly how you propose to:
Pursue the work
Methods you will employ
Timelines you will follow
How you will evaluate the results
Project Leader
Principle Researcher / Investigator
Other Key” Staff
Should allow anyone reviewing the proposal to
make a judgment on the likely hood your
proposal will result in meeting the objectives. The
methodology that addresses how the objectives
will be accomplished. This is the detail,
procedures, timeline, key personnel and rationale
for using a specific method, it must be
scientifically sound. Describes how the project is
expected to work to solve the stated problem.
Should describe planned activities, staff &
resources, how different aspects of the project
will interrelate, where personnel are needed &
purpose. You may want to include what will
happen to the project beyond the funded grant
period.
The approach must contain enough detail to
meet NEPA/Section 7 compliance. You may wish
to detail this information out in a separate
heading in the project statement. The RO must
have adequate info to document and make
NEPA/Sec 7 decisions.
USFWS – Wildlife and Sport Fish Restoration Program 5-4
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Project Leaders Course 2008
73. Pre-Award: Developing and Reviewing the Project Statement
Defining the Required Elements of a Project Statement (continued)
EXPECTED RESULTS
• What positive, quantifiable results and benefits will your work accomplish?
o Increased Access - How much, how measured and who will
benefit?
o Increased Use…How Measured?
o Economic Impact…How Measured?
o Increased Recreational Opportunity…How Measured?
Notes:
Measured? National survey? State economic agency? Creel survey?
Vehicle counts, survey results, check stations?
Results may be used as ranking criteria for competitive grants. These should
be addressed in order to receive points.
APPROACH
• How will you reach the objective(s) in the time allotted?
o Specific procedures
o Schedules
o Key project staff functions
o Cooperators
Notes:
May include 3rd party agreements – local governments to build access sites.
The “how” will be used for compliance, especially with NEPA/Section 7.
USFWS – Wildlife and Sport Fish Restoration Program 5-4
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Project Leaders Course 2008
74. Pre-Award: Developing and Reviewing the Project Statement
Instructor Notes Revised 3/6/08
Where will the work be done?
Statewide
Regional
Management Area
Specific Location
Congressional District
Discuss elements of the “Estimated Cost” section
of the project statement.
Cost Categories vs Cost Centers (Activity Based)
Total Project Costs
Detail of Match Federal / State / Other
Specify Federal program funding
State’s fiscal staff should be consulted on
developing cost estimates and what categories to
employ.
May want to check cost principles to see what is
allowed, may be submitted by category such as
personnel, travel, supplies or by activities or jobs.
Must relate to the work and approach.
Either in project statement or budget should show
indirect costs, include if program income is
expected and how it will be used. If projects are
split between various subprograms (FW/M) this
must also be identified including matching share.
Show in-kind matching (if known).
Be sure to address the ranking criteria if it is a
competitive grant and show in the proper
element.
USFWS – Wildlife and Sport Fish Restoration Program 5-5
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Project Leaders Course 2008
75. Pre-Award: Developing and Reviewing the Project Statement
Defining the Required Elements of a Project Statement (continued)
LOCATION
• Where will the work be done?
Notes:
Specific location – this may be needed for compliance issues, NEPA and
Section 7. If statewide is listed that is where Section 7 ES is applied.
ESTIMATED COST
• How much does it cost?
• Federal / Grantee Share
• Cost Detail…Cost Categories or Job Costs?
Notes:
List by category: Salaries, Supplies, Equipment or by Job 1, Job 2, etc.
Specify federal program funding, detail match, 3rd party or other funding
Provide enough info for grant specialist to determine substantiality in
character and design. Reasonable & necessary items are determined
during audit in compliance. This is bigger picture –
commensurate with project costs.
COMPLIANCE INFORMATION
Notes:
Compliance info may be included in approach & location, using checklist
or other form, or additional documents. For NEPA & Section 7 specifically
WSFR must be able to make determination based on information in
application and document for the administrative record. Grantee
must answer what, when, where, who, why, and how.
USFWS – Wildlife and Sport Fish Restoration Program 5-5
Information Management Branch - National Training
Project Leaders Course 2008
76. Pre-Award: Developing and Reviewing the Project Statement
Instructor Notes Revised 3/6/08
Competitive grants have different ranking
criteria depending on the grant program.
It is important to review the specific program
guidance, understand the ranking criteria and
write a clear and concise project statement /
narrative addressing the criteria.
WSFR staff review competitive programs
using the same criteria in addition to the
specific ranking criteria and special
requirements in competitive grant program.
Address Criteria
Identify critical dates in the process
Understand how ranking criteria effects
your score
Maximize non-Federal share
Include partners
Be sure package is complete. You may not
have time to submit additional information.
USFWS – Wildlife and Sport Fish Restoration Program 5-6
Information Management Branch – National Training
Project Leaders Course 2008