1509.11_10
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FOREST SERVICE HANDBOOK
NORTHEASTERN AREA
STATE AND PRIVATE FORESTRY (NA)
NEWTOWN SQUARE, PA
FSH 1509.11 – GRANTS, COOPERATIVE AGREEMENTS, AND
OTHER AGREEMENTS HANDBOOK
CHAPTER 10
Supplement No.: NA-1509.11-2007-1
Effective Date: October 16, 2007
Duration: This supplement is effective until superseded or removed.
Approved: KATHRYN P. MALONEY
Area Director
Date Approved: 10/16/2007
Posting Instructions: Supplements are numbered consecutively by title and calendar year.
Post by document; remove the entire document and replace it with this supplement. Retain this
transmittal as the first page(s) of this document. This is the first supplement to this Title.
15
New Document
Superseded Document(s):
5 Pages
None
(There is no superseded material.)
Digest:
15
States the closeout policy for expired Northeastern Area State and Private
Forestry (NA) grants and agreements.
NA SUPPLEMENT 1509.11-2007-1
EFFECTIVE DATE: 10/16/2007
DURATION: This supplement is effective until superseded or removed.
1509.11_10
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FSH 1509.11 – GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK
CHAPTER #10 – GRANTS AND COOPERATIVE AGREEMENTS
15 – PROCEDURES FOR CLOSEOUT OF DOMESTIC AND INTERNATIONAL GRANTS
AND COOPERATIVE AGREEMENTS
The following policy will facilitate the timely closeout of expired Northeastern Area State and
Private Forestry (NA) grants and agreements. The actions will reduce the continually high
outstanding un-liquidated obligation balances for NA.
These actions will not replace the current expectations on the minimum monitoring and technical
assistance documentation required for all current NA grants and agreements that were outlined in
the Field Responsibilities in Program Management letter dated May 4, 2004.
Courtesy Letter
The Grants and Agreements (GAAM) Staff will send a courtesy letter to each recipient at the
beginning of the final month of each open agreement. The letter will serve as a reminder that their
agreement is going to expire and that there is an opportunity to request a no-cost time extension.
Recipients will be reminded that, should they allow the agreement to expire, they are required to
provide all final report(s) within 90 days of the expiration date of the award. They should process a
final draw down for all costs incurred during the life of the agreement.
The FS Program Manager/Monitor will receive a copy of this letter and a copy will also be attached
to the agreement file in I-WEB. The Forest Service Program Manager/Monitor will contact the
recipient upon receipt of this notification letter to ensure compliance. This contact will be
documented in the Monitoring Tab of I-WEB or as a separate attachment in I-WEB.
Final Request for Reports
If the recipient does not request a no-cost time extension or fails to send in the required report(s)
within the 90 days allowed for submission of the final report(s), a second letter will be sent via
certified mail. This letter will be sent by the GAAM staff within 10 days of passing of the required
90 days allowed for report(s) to be submitted.
This request will allow for an additional 30 days from the expiration of the original 90 days for the
recipient to provide the required reports and process a final draw down, if applicable. (120 days
will now have elapsed since the expiration date.)
The FS Program Manager/Monitor will receive a copy of this letter and a copy will also be attached
to the agreement file in I-WEB. The Program Manager/Monitor will again contact the recipient
seeking the missing reports and process a final draw down, if applicable. This contact by the
Program Manager/Monitor will be documented in the Monitoring Tab or as a separate attachment in
I-WEB.
NA SUPPLEMENT 1509.11-2007-1
EFFECTIVE DATE: 10/16/2007
DURATION: This supplement is effective until superseded or removed.
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FSH 1509.11 – GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK
CHAPTER #10 – GRANTS AND COOPERATIVE AGREEMENTS
Failure to Respond
If the recipient fails to respond to this request, GAAM will notify the respective Program
Manager/Monitor, and the respective Assistant Director (AD). The Program Manager/Monitor or
AD will have the following choices at this time. They can:
1. Contact the recipient again to seek all missing report(s) or final draw downs, as applicable.
2. Recommend that the agreement be terminated and that any remaining funds be de-obligated.
3. Recommend that the agreement be terminated and ask for a return of any or all of those Federal
funds drawn down. This will be handled on a case by cases basis and only if it can be determined
that work completed was less than satisfactory or not equal to Federal funds drawn down.
It is important that the Program Manager/Monitor document all contacts with the recipient
regarding missing reports and the processing of final draw downs, if applicable, in order to allow
additional time for submission of the missing reports, etc. Unsubstantiated requests for additional
time by the Program Manager/Monitor will not be approved, the agreement will be closed and the
remaining funds will be de-obligated.
A decision to close the agreement without the required reports and to de-obligate any or all
remaining funds will be made by the Deputy Area Director unless the Program Manager/Monitor
can support otherwise.
Non-Responsive Recipients/Future Awards
If an agreement is closed without the missing report(s), and any remaining funds are de-obligated,
the recipient will then be placed on a list of non-responsive recipients in the Grants and Agreements
(G&A) database. If a recipient is placed on the list and is then eligible for a future award, all
missing reports must be provided by the recipient, and approved by the Program Manager/Monitor,
prior to the award of any new agreements. Any funds de-obligated as a result of non-compliance
would no longer be available and cannot be returned to the recipient even if all missing reports are
submitted and approved at the time of the new award.
Placement on the list indicates that the recipient would require additional monitoring by the
Program Manager/Monitor to ensure compliance throughout the performance period of the new
award to avoid repetition of past behavior.
Program Manager/Monitor Responsibilities
It should be recognized that the monitoring of all NA grants and agreements starts during the preaward phase when the narrative is being negotiated. This is the Program Manager/Monitor’s
NA SUPPLEMENT 1509.11-2007-1
EFFECTIVE DATE: 10/16/2007
DURATION: This supplement is effective until superseded or removed.
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FSH 1509.11 – GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK
CHAPTER #10 – GRANTS AND COOPERATIVE AGREEMENTS
opportunity to set forth expectations for successful completion of each award and to ensure that
potential recipients understand the need to contact them for assistance as needed.
It is expected that all Program Managers/Monitors will contact each recipient of each agreement
they are responsible for at least quarterly. Each contact, whether by a site visit, as part of a program
review, or by telephonic contact, will be documented in I-WEB under the Monitoring Tab or as a
separate attachment in I-WEB. The receipt of interim progress reports provided by the recipients
will not be considered “monitoring.”
Because the Forest Service is committed to providing efficient, effective administrative support to
its programs, allowing its employees to deliver on their core mission sustainable resource
management; consistent, successful monitoring of all NA grants and agreements is imperative. NA
will continue to improve its financial accountability and provide efficient management of program
resources.
See Exhibit 01 for a “Grants and Agreements Accountability Matrix” which summarizes the policy
stated in this supplement.
NA SUPPLEMENT 1509.11-2007-1
EFFECTIVE DATE: 10/16/2007
DURATION: This supplement is effective until superseded or removed.
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FSH 1509.11 – GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK
CHAPTER #10 – GRANTS AND COOPERATIVE AGREEMENTS
Grants and Agreements Accountability Matrix
30 Days
Expiration Date
90 Days
95 Days
120 Days
G&A sends courtesy letter to Cooperator alerting them of
expiration date and offering a no-cost time extension.
Program Monitor is copied on letter; is required to document
contact with Cooperator in I-WEB.
Agreement expires or is extended.
Final Reports are submitted and final draw down
has been completed. Agreement is closed.
a) If all reports not received or an incomplete final
draw down occurs, G&A sends 2nd letter with 30 day
due date.
b) Program Monitor is copied on letter and is required to
document contact with Cooperator in I-WEB.
a)Final reports are submitted and final draw down has
been done. Agreement is closed.
b)If all reports are not received or final draw down is
incomplete, G&A contacts the Program Monitor, copying
Program AD and Deputy Area Director for a
decision to closeout without required reports and
de-obligate any remaining funds.