1. What forms are required when entering into a Cooperative Agreement or Grant? And where can I find them? Presented by: Christina L. Williams

2. *Required when there is a change in scope of the project **Required if total amount of award exceeds $100,000 ***Abbreviated to document change in date, amount of funding, etc.

3. THESE FORMS NEED TO BE SUBMITTED BY ADODR TO THE ASC PRIOR TO THE AWARDING A COOPERATIVE AGMT OR GRANT (Submitted by ADODR)

4. Pre-Award Decision Template History and Purpose : When the change in Administration took place, originally, it was requested by the Office of the Secretary (OSEC) that they wanted a list of ALL agreements before they could be approved and executed. A compromise was made, in an effort to save the time and manpower it would take for the approval of each agreement under OSEC’s approval process. It was decided that APHIS could approve their agreements on the Agency level. For APHIS the Decision Template was created which included all the information that was originally requested to be given to OSEC. While each program may handle the process a little differently, the decision template was created for APHIS to have a uniform format that all Programs can use. Approved and signed by Awarding official, ADO &ADODR Pre-award costs should not be approved without this completed form.

5. Purpose: If it is determined that there is not enough time to get an Agreement executed for the Cooperator needs to start incurring expenditures, the Cooperator may decide to submit a pre-award request letter to the ADO for up to 25% of the anticipated award amount. It must be Concurred by the Agreement Specialist, ADODR, and ADO. APHIS And the Cooperator have up to 90 days to get the Agreement executed. The submission and approval of the letter is with the understanding that APHIS is under no obligation, in the absence of appropriations, if the award is not made, or if an award is made for a lesser amount than expected. Anita Ridley will be going over a new version of the letter during her presentation of the review and approval process. Pre-Award Pre-Award Request Letter

6. Pre-Award Application Forms (SF-424,a,b) SF-424- Application SF-424A- Budget SF-424B- Assurances Can be found at: http://www.aphis.usda.gov/mrpbs/forms/index.shtml or http://www.aphis.usda.gov/mrpbs/forms/grants.shtml *If you go to APHIS’ Homepage, and type “forms” in the search box. Click on the first search result and it will bring you to a list of all the types of forms. These pre-award forms are Standard Forms (SF) Supplemental Information as required to comply with the Federal Funding Accountability and Transparency Act (FFATA)

19. Pre-Award Negotiated Indirect Cost Rate Agreement Must be requested from Cooperator (unless already provided, APHIS Agreements Specialist will usually request this along with any other necessary documents for the Award of an Agreement). A copy is required whenever indirect costs are assessed in the budget for the agreement. Must always be signed by BOTH parties: By APHIS and by Cooperator **Eileen Berke and Kris Caraher will be going over this more in detail later on in the presentation

23. Pre-Award SPOC Intergovernmental Review Process Letter A SPOC is an individual within a state government structure, often residing in the Governor's office, that serves as a point of contact for the state's review of federal projects for which awards are anticipated. For those applicants that have this process in their state, submit your application to the SPOC simultaneously to submitting to APHIS. A copy of the SPOC receipt and approval letter will be required at the time the award is made. A chart indicating the states that require review of APHIS programs, and the names and telephone numbers For the point of contacts can be found in the toolkit under “EO12372, APHIS-Specific Information:” http://www.aphis.usda.gov/mrpbs/fmd/toolkit.shtml

25. ____________________________________________ Only if there is lobbying to disclose: SF-LLL form can be found at: http://www.aphis.usda.gov/mrpbs/forms/sf.shtml or http://www.aphis.usda.gov/mrpbs/forms/grants.shtml *If you go to APHIS’ Homepage, and type “forms” in the search box. Click on the first search result and it will bring you to a list of all the types of forms. These type of form is a Standard Form (SF) _________________________________________________ Required for all awards over $100,000 Certification Regarding Lobbying to certify against involvement for conflict of interest can be found at: http://www.aphis.usda.gov/mrpbs/forms/grants.shtml Pre-Award Lobbying (Awards > $100,000)

29. Purpose: Via APHIS policy, this form must be filled out to provide justification for non- competition/posting on grants.gov. This form can be found at: http://www.aphis.usda.gov/mrpbs/forms/aphis.shtml APHIS internal form that has to be completed before NEW agreements can be put into place. Does not have to be completed for a continuation of an award, unless the scope of the project changes and the award is again considered “new” and given a new agreement number. Signed by ADODR as requisitioner, then ADODR submits to ADO to sign as approving official. **Anita Ridley will be going over this more later in the review and approval process. Pre-Award APHIS-63 Form

31. Pre-Award Supplemental Cooperator Information Sheet Purpose: To provide APHIS’ agreement specialist with the necessary information to enter the agreement Into the ACMS database and obligate funds. This form came to be by APHIS in interim while OMB is updating the forms. This form is sent to the Cooperator by the APHIS Agreements Specialist for completion.

33. Pre-Award ADODR Designation Letter Purpose: This letter, signed by the ADO for the agreement, is created by the APHIS’ Agreements Specialist to formally designate the ADODR and outline his/her roles and responsibilities regarding the award.

37. Post-Award SF-270 Request for Advance or Reimbursement SF-270 form can be found at: http://www.whitehouse.gov/omb/grants_forms/ This form is completed by the Cooperator for the Advance or Reimbursement of Funds. ADODR must sign and approve form before payment will be made.

40. Post-Award FEDERAL FINANCIAL REPORT (SF-425) SF-425 form can be found at: http://www.whitehouse.gov/omb/grants_forms/ This form is completed by the Cooperator to report the financial status of the agreement.

42. Post-Award Notice of Deobligation Purpose: Once APHIS ASC receives a “FINAL” SF-425, the remaining Unobligated Balance of Federal funds, (line 10, h.), will be subject to deobligation by APHIS. *Once the period of performance has expired, if an unobligated balance remains, APHIS will issue a deobligation letter within 30 days. The letter will state our intent to deobligate any remaining unobligated balance on this agreement. Once the letter is sent to the Cooperator, if there is a need to submit a corrected SF-425, it must be received by APHIS within 14 days of the date of the letter.

45. If you have any further questions about this presentation once the other forms in the chart have been presented in more detail, please feel free to contact me at the phone number or e-mail address below: