Updates and changes to Bureau of Land Management (BLM) Manual 1511 Assistance Agreements
UNITED STATES DEPARTMENT OF THE INTERIOR
BUREAU OF LAND MANAGEMENT
WASHINGTON, D.C. 20240
http://www.blm.gov/
November 18, 2016
In Reply Refer To:
1511 (850) P
EMS TRANSMISSION 11/29/2016
Instruction Memorandum No. 2017-015
Expires: 09/30/2020
To: Washington Office and Field Office Officials
From: Assistant Director, Business, Fiscal and Information Resources Management
Subject: Updates and changes to Bureau of Land Management (BLM) Manual 1511 Assistance Agreements
Program Area: Financial Assistance (FA) (Grants and Cooperative Agreements)
Purpose: The purpose of this Instruction Memorandum (IM) is to update the Statement of Programmatic Involvement (SPI)/Instrument Selection Determination (ISD) policy and procedures process and implement the Award Instrument Determination (AID) policy and procedures for approving awards.
Policy Action: The following policy changes have been made to the BLM Manual 1511, Assistance Agreements:
1. The SPI must be submitted by a certified Program Officer when proposing to enter into a financial assistance agreement.
2. Grants Management Specialist/Officer (GMO) ISD Approval Process:
A. The GMO will be responsible to make the determination that the proposed project/program meets: 1) There is legislative authority that authorizes BLM to enter into a financial assistance agreement. 2) The principal purpose of the relationship is for public support or stimulation. 3) The BLM will not be harmed in furthering a specific BLM mission requirement if the effort is not accomplished. 4) There is BLM substantial involvement when required by legislative authority and 5) The project falls within one of the BLM’s Catalog of Federal Domestic Assistance (CFDA) programs.
B. The ISD will be prepared by the GMO.
C. When the GMO does not have certified signatory authority up to the anticipated amount of the award, the ISD must be approved and signed by another GMO with the required certified signatory authority and by the Bureau Grant Policy Manager (BGPM).
3. Procurement Analyst (PA) ISD Approval process:
a. The PA must obtain and complete proper training from a reliable sources prior to being authorized to sign the ISD i.e., The BLM PO Training Course, a Management Concepts, Inc., or Northwest Procurement Institute (MCI/NPI) Introductory Grants and Cooperative Agreements course, or any other equivalent introductory financial assistance training course approved by the BGPM.
b. The PA is responsible for concurring that the proposed financial assistance opportunity is not a procurement action governed by the Federal Acquisition Regulations (FAR).
c. The PA must approve all ISDs for their State and may also sign for other States' GMOs if their PA is absent.
4. Bureau Grant Policy Manager (BGPM) Approval process:
a. The BGPM will be responsible for approving any ISD with an anticipated amount over $250,000.
b. The BGPM will be responsible for approving any ISD with an anticipated amount higher than the GMO's certified signatory authority that will be responsible for administering that award.
c. Any SPI/ISD or AID under the CFDA Program - 15.229 Wild Horse and Burros Resource Management must be approved by the BGPM and reviewed/approved by the Office of the Solicitor (SOL) for legal sufficiency, unless BGPM and/or Bureau Procurement Chief determines otherwise.
d. Any SPI/ISD or AID submitted for newly established programs, complex programs/projects or with unique requirements must be approved by BGPM.
e. The BGPM may delegate the approval of the ISD and AID to another GMO-GS-1109-12.
5. AID Approval process:
a. AIDs will be based upon the determination that the proposed recipient's application package meets the terms and conditions stated in the Notice of Funding Opportunity, meets the legislative authority to enter into a financial assistance transaction, is for a public purpose of support or stimulation, and is in accordance with 2 CFR Part 200, Grants and Agreements, Bureau policy, Department of the Interior Department Manual 505, Chapter 2, Grants Administration, Procurement Contracts, Grant and Cooperative Agreements, until rescinded and Department of the Interior, Acquisition, Assistance, and Asset Policy (DOI-AAAP) for Financial Assistance.
b. The AID will be prepared by the GMO on all financial assistance awards and must be approved and signed by a GMO with certified signatory authority up to the anticipated award amount or by the BGPM.
c. The PA will concur that the proposed recipient package is not a procurement action governed by the Federal Acquisition Regulations (FAR).
d. The GMO and PA may request for BGPM to review and approve AIDs at any time.
6. CFDA Program - 15.229 Wild Horse and Burros Resource Management (WHB): The Certified PO, GMO and PA will jointly be responsible for the following pre-award approval process under CFDA Program - 15.229 Wild Horse and Burros Resource Management (WHB) prior to submitting to the BGPM:
a. Ensure activities funded meet the criteria for FA. Proposal elements that are for the direct benefit of the BLM WHB’s Program mission and not for a public purpose must be funded as a contract i.e., short and long term care and holding of horses.
b. Ensure the estimated budget has sufficient detail to allow BLM FA staff to assess compliance with the applicable 2 CFR, Part 200, Subpart E - Cost Principles for all types of recipients, except for For-Profit, which will follow the AAAP-0010 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards for For-Profit and Foreign Entities, dated December 26, 2014.
c. If requested, ensure recipient provides sufficient information regarding pre-award costs prior to approval.
d. Ensure recipient requests prior approval for fundraising activities related to the program/project.
e. Ensure the award states the BLM’s specific substantial involvement in the program/project.
f. If applicable, ensure program income is reflected in both the pre-award budget and post-award financial reports.
g. Advise recipient of the BLM's determination as to whether or not proceeds associated with adoption fees and Ecotourism business will be allowable.
h. Ensure a current Risk Assessment is completed and that a Monitoring Plan is in place.
7. SOL Approval process:
a. CFDA Program - 15.229 Wild Horse and Burros Resource Management : All Requirements under CFDA Program - 15.229 Wild Horse and Burros Resource Management must be approved by the BGPM and reviewed/approved by the SOL for legal sufficiency due to complexity of the program, unless BGPM and/or Bureau Procurement Chief determines otherwise:
i. SPI/ISD/Funding Opportunity Announcements prior to posting in www.Grants.gov must be approved/reviewed by the BGPM and reviewed/approved by the Office of the Solicitor for legal sufficiency.
ii. AIDs/Awards (including the recipient’s proposal) must be approved by the BGPM and reviewed/approved by the SOL for legal sufficiency prior to award.
b. GMO/PA are not required to seek further approvals from SOL for SPI/ISDs and AIDs/cooperative agreements and grant awards, issued under well-established programs. However, SOL will review and advise the BLM, upon request, if a proposed cooperative agreement or grant is of such complexity or novelty or exhibits intellectual property issues or potential conflicts of interest, or other such concerns to warrant legal review. The GMO and/or PA may request SOL review of any financial assistance action after consultation with, and approval of, the BGPM.
c. Refer to Attachment 1 for Acquisition and Assistance Legal Review Form (rev Oct 2015).
8. The GMO will be responsible for using the most current version of the SPI/ISD and AID. Current SPI/ISD and AID templates will be posted on the Financial Assistance SharePoint site.
9. The SPI/ISD and AID must be signed either digitally using Adobe Pro/Read with validation of a digital certificate or with a scanned copy of an original signature.
10. Refer to Attachment 2 - Justification for Use of Financial Assistance and Public Purpose for further information.
Timeframe: Effective immediately.
Budget Impact: There will be tuition and possible travel expenses for those Grants Management Officers, Procurement Analysts and Program Officers who have not already completed certification training.
Background: The SPI/ISD procedures were established to conduct reviews at an organizational level separate from the level where the determinations are made to ensure objectivity in the decision-making process and to ensure that financial assistance instruments are not being used to circumvent applicable Federal procurement laws or regulations. The SPI is the tool submitted by the certified Program Officer when proposing to enter into a financial assistance agreement. The ISD is the GMO’s determination whether or not the requested requirement is an acquisition or a financial assistance action. The ISD is prepared by the certified GMO with oversight by the State Procurement Analyst and approved by the BGPM if anticipated amount of the award exceeded $100,000. In Fiscal Year 2015 a pilot process was implemented wherein the SPI/ISD did not require the BGPM’s level of approval and rested on the GMO and PA. It has now been determined that due to the new OMNI Circular, Department of the Interior, Acquisition, Assistance, and Asset Policies (DOI-AAAP) being implemented, and turnover of staff, that the oversight needs to revert back to a separate organizational level and approval should remain with the BGPM as stated in the 1511 Manual.
The 1511 Manual did not address the requirement that the GMO will prepare an official final award determination instrument when making award to ensure the recipient’s application package meets the legislative authority, public benefit and all required terms and conditions listed in the Notice of Funding Opportunity. During Fiscal Year 2015 a pilot process was implemented wherein the GMO prepared the AID with oversight of the Procurement Analyst and any awards over $100,000 were approved by the BGPM. After review of the two processes the determination was made that the AID does not require separate organizational level approval, unless stated otherwise in this policy, and that the SPI/ISD process will require the separate organization level approval by the BGPM.
Due to the results of Fiscal Year 2015 Office of Acquisition and Property Management (PAM), Acquisition Compliance Review, dated August 17, 2015. The PAM Office addressed as part of the Correction Action Plan to require the BLM WHB Program to have organizational level approvals due to the complexity of the program and develop policy and procedures related to funding and budget to address issues in item 6 of this document.
Manual/Handbook Sections Affected: Bureau of Land Management Manual 1511 – Assistance Agreements Manual Section .04 Responsibilities C.2., F.5., and I1.
Coordination: These changes were coordinated with the Division of Business Resources (WO-850), Grants Management Officers and State Procurement Analysts.
Contact: If you have any questions concerning this IM, please contact Maria Gochis, Bureau Grant Policy Manger, WO-855, at (801) 539-4178 or Eric Pagal, Bureau Procurement Chief, WO-855, at (202) 912-7073.
Signed by: Authenticated by:
Janine Velasco Robert M. Williams
Assistant Director Division of IT Policy and Planning,WO-870
Business, Fiscal and Information
Resources Management
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