1. Monitor and Closeout Awards Lamar Revis NMFS Team Leader Paulette S. Moss OAR, NWS, NESDIS Team Leader

2. Monitoring The purpose of project monitoring is to ensure the terms and conditions of awards are fulfilled. Award monitoring is the responsibility of the Award Recipient, Grants Office, and the Program Office.

3. Monitoring – Financial Reports 1. Financial Status Reports Note: The Financial Status Report provides complete disclosure of grantee expenditures and obligations for an award during the award period.  SF 269 (long form)  SF-269a (short form)  Due annually or semi-annually based on award terms and conditions (within 90 days of expiration date)  Expenditures  Obligations  Unliquidated Obligations (an unpaid debt)  Unobligated Funds  Program Income (use long form)  Recipient Share (match)  Federal Share

4. Monitoring – Financial Reports cont. 2.) Federal Cash Transaction Reports  SF-272  Interim report due semi-annually (no later than 30 days after end of reporting period)  Final report due 90 days after award end date  Monitors cash advances drawn by the grantee  Monitors to ensure excess cash is not on hand  Amounts over $5,000 on hand for more than -3- days must be explained in the remarks section.  SF-270  Required for Grantees not enrolled in Automated Standard Application For Payment (ASAP) System 3.) Request for Advance or Reimbursement Note: All above reports are submitted to the Grants Office.

5. Monitoring - Progress Reports  Progress Reports are reviewed and approved by the Program Office  Due semi-annually or annually (as determined by Program Office)  Within 30 days of the reporting period end date  Program Officer certifies receipt and approval in Grants Online

6. Monitoring – Post Award Actions  Any change to an approved project or program such as a revision to the budget, change in scope of work or extension to the project period.  Also includes:  Equipment Purchase  Foreign Travel and Use of Foreign Air Carrier  Change/Absence of Principal Investigator  Sub-Award/Contract to Federal Agency  Other Sub Awards or Subcontracts  Extension to Close Out  Transfer of Award  Change in Institution Name

7. Monitoring – Post Award Actions cont.  Change in Key Person Specified  Satisfied Special Award Conditions  Transfer of funds allotted for training to other categories of expenses  Sole Source Contract  Inclusion of cost that require prior approval based on cost principles  Sub award, transfer or contracting out any work under the award if not described in the approved application

8. Monitoring – Post Award Actions cont.  Expanded Authorities  Colleges, Universities, Non-Profits, For Profits  Individuals (if they are conducting research)  Governed under 15 CFR Part 14 Subpart C part 14.25 (e)  Can be invoked only once for extension up to 12 months  Applies automatically to awards supporting research  Not to be used simply to expend remaining funds  Incur pre-award costs (up to 90 days before award receipt)  Change key personnel  Notify Grants Office at least 10 days before award expiration date

9. Monitoring – Other Forms  Site Visits  Audits  Any Correspondence  Whistle Blower Complaints Note: All monitoring actions are documented and placed in the official award file.

10. Award Closeout After the work under the grant is completed, the award is closed out. To determine closeout requirements for a particular entity, refer to: States/Local Governments 15 CFR par 24 - Grant Administration Requirements Institutes of Higher Education/Other Non-profits 15 CFR par 14 – Grant Administration Requirements For general closeout information, please refer to the Department of Commerce Grants and Cooperative Agreements Interim Manual - Chapter 12

11. Grantee Closeout Requirements All final reports are due within 90 days after the award expiration date Submit to the Program Office: Final performance or progress report; Invention disclosure, if applicable; and Federally-owned property report, if applicable Submit to the Grants Office: Final financial status report (SF-269); Final request for payment (SF-270), if applicable; Final federal cash transaction (SF-272)

12. NOAA Program Office Closeout Requirements The role of the Program Office in closeout proceedings: 1.Review grantee’s final performance report and certify project objectives have been met either by memorandum or electronically through Grants Online; 2.Review grantee’s final progress reports to ensure consistency with project objectives; 3.Review grantee’s final property report, forward to the Property Officer with disposition instructions and copy Grants Office; and 4.Review grantee’s final patent report and forward to Grants Office with recommendations

13. NOAA Grants Office Closeout Requirements 1.Ensure all final financial and progress reports are submitted on time and are accurate 2.Send closeout letter  Advise grantee closeout is completed; Determine whether or not closeout results in a debt; and Ensure access and retention of closeout file 3.Obtain certification from Program Office of any disclosure of inventions, patents and royalties

14.  Purchase price of $5,000 or more; useful life of more than one year  Title usually vests with recipient  At the end of the award, equipment with a fair market value of $5,000 or more after depreciation must be reported  For use by the grantee for the project for which it was acquired  Can be used for other federal projects or activities, after its use in the original project period is completed  An annual inventory listing of federally owned property is reported to the NOAA Program Officer  Examples of federally owned property:  vehicles  boats  research instruments Equipment

15. Equipment - References  Universities and Non-Profits  OMB Circular A-21  15 CFR par 14.33 Federally Owned and Exempt Property  15 CFR par 14.34 Equipment  State and Local Governments  OMB Circular A-87  15 CFR par 24.32 Equipment

16. Equipment - References Cont.  OMB Circular A-122 Universities, Hospitals, and Non-Profits (15 CFR Part 14.34 )  Use for purposes intended under the award  Maintain detailed budget property records and take inventory at least bi-annually  Obtain written disposition instructions from NOAA Grants Office if fair market value is $5,000 or more  If instructions are not received from Grants Office within 120 days of written request, equipment can be sold.  NOAA must be reimbursed from the proceeds of the sale in an amount calculated on NOAA’s participation in the cost of the original project  The grantee may retain $500 or 10% of the proceeds, whichever is less, for selling and handling expenses

17. Equipment - References Cont.  OMB Circular A-87 State and Local Governments ( 15 CFR Part 24.32 )  The use, management, and disposition of equipment purchased by the state with federal funds, must be in accordance with state laws and procedures.

18. Helpful Websites:  NOAA Grants Management Division Homepage http://www.ofa.noaa.gov/~grants/  DOC Grant Regulations – Administrative Rules  15 CFR Part 14 for Educational Institutions, Non-Profit & Commercial Organizations  15 CFR Part 24 for State and Local Governments http://http://oamweb.osec.doc.gov/  OMB Circulars – Cost Principles  A-21 for Educational Institutions  A-87 for State and Local Governments  A-122 for Non-Profit Organizations  A-133 Audits http://www.whitehouse.gov/omb/circulars/