Federal Assistance Manual Chapter 5-20A

CHAPTER 5-20A AML GRANT PROGRAM APPLICATION REVIEW AND PROCESSING

• 5-20A-00 Purpose
  
• 5-20A-10 Policy
  
• 5-20A-20 Procedures

5-20A-00 PURPOSE

This chapter presents the OSM responsibilities for receiving, reviewing, and processing AML grant applications.

5-20A-10 POLICY

All complete applications, as described in 5-10A-30B, for award of OSM funds shall be processed within 60 calendar days of receipt by OSM. Within the 60-day period, a maximum of 30 calendar days is allocated to perform a complete financial and programmatic review of the application. The remaining 30 days are used to complete the processing of the award and obligation of funds.

5-20A-20 PROCEDURES

1. Application Processing (See Exhibit X5-20A-1). The following actions shall be taken by the RCC/FO in processing a grant application:
   1. Determine that the application is administratively complete and all figures are correct.

   2. Verify availability of funds and specific funding caps.

   3. Check the "Lists of Parties Excluded from Federal Procurement or Nonprocurement Programs" to determine whether a participant or principal is debarred, suspended, ineligible or voluntarily excluded.

   4. After an application is determined to be complete, but no later than seven calendar days prior to the planned award, e-mail the NIDS to the Headquarters Office of Communication (OC). See Exhibit X5-20A-2 for the NIDS form and instructions for completing it.

   5. Document the grant review using the findings and recommendation memorandum format shown in Exhibit X5-20A-3.

   6. Sign and date the grant agreement.

   7. Prepare and sign the form OSM 52, Contract/Grant/Cooperative Agreement Award Report. Transmit the OSM 52 to DFM for obligation of funds.

   8. Send two copies of the signed award document to the grantee for countersignature.

   9. Input the award information into the Federal assistance awards data system. See chapter 5-90 for instructions.

2. Downtime
   1. Thirty days is allotted to complete the financial and programmatic review of an application. If the RCC/FO determines an application is incomplete, it formally returns the application to the grantee and requests corrective action, thus "stopping the clock" on the 30-day review period. When the revised application is received, the clock is restarted at day 1. However, it is recommended that the RCC/FO resolve issues or errors within the 30-day period rather than make a formal determination of incompleteness. If the missing part(s) can be provided easily by the grantee and will not delay the review of the application past the initial 30-day review period, the application should not be determined incomplete. The application need not be perfect to be accepted for processing.

   2. In order to ensure that the RCC/FO is not penalized for exceeding the review time limit because of attempts to resolve issues without stopping the clock, the "downtime" concept has been developed. Downtime is considered to be any period when the review is being held up due to circumstances outside RCC/FO control. Downtime will normally occur when the RCC/FO is waiting to receive a requested response or correction from the grantee. Downtime days are not included in the calculation of the review time.

   3. When a downtime period occurs during the review process, the review clock is considered to be suspended at the point when no further action can be taken until the concern is resolved (for example, when a grantee is notified of corrections needed). At the end of the downtime period (usually when the requested corrections are received), the review clock starts up again at the same number it was when suspended.

   4. If the RCC/FO makes a formal determination that an application is incomplete, the 30-day review clock stops at that time. Upon submission of a complete, corrected application, the clock is re-initiated at day 1 of a new 30-day review period.

   5. Details of downtime are documented in the findings and recommendations memorandum.

3. Documentation of Grant Reviews

   The following items shall be available in the official grant file maintained in the RCC/FO. This list is considered the minimum level of grant review documentation. RCC/FO are expected to include additional supporting information and reports as appropriate for the particular application, the grant recipient, and the RCC/FO involved.

   1. Records of all meetings or telephone conversations with the recipient organization which provided information in support of the application.

   2. All correspondence between the RCC/FO and the recipient which relates to the application or supports the award decision.

   3. All internal OSM reviews of the application or parts of the application.

   4. All explanations or resolutions of questions raised during the review process.

EXHIBIT X5-20A-1

GRANT REVIEW AND APPROVAL PROCESS

EXHIBIT X5-20A-2

DATE:

NEWS ITEM DATA SHEET
(For Grants and Cooperative Agreements)
___ Initial Submission
___ Revised Submission

1. Proposed Action:

2. Target Date of Proposed Action:

3. State/Tribe Affected:

4. Identifying Grant and Amendment Number:

5. Purpose:

6A. Funds From Current Year Appropriation: $

6B. Funds from Prior Year(s) Appropriation: $

6C. Total Federal Grant Amount: $

7. State/Tribe Contributing Funds: $

8. Grant Period:

9. OSM RCC/FO Contact and Phone No.:

10. State/Tribe Contact and Phone No.:

11. Number of State/Tribe Personnel Support by Grant:

12. Number of Inspectable Units in State/Tribe:

13. State/Tribe Annual Coal Production:

14. Remarks:

(Revised 8/97)

INSTRUCTIONS FOR COMPLETING THE NEWS ITEM DATA SHEET (NIDS)

The NIDS is prepared and submitted for all monetary awards, monetary increase amendments.

1. Describe the proposed grant action, e.g., original award or amendment to award.

2. Anticipated date that Regional Coordinating Center or Field Office will sign grant award.

3. State/Indian Tribe receiving grant.

4. Self-explanatory.

5. Describe the grant administrative action to be taken and the type/purpose of the grant. If more space is needed, attach a supplemental sheet.

6. 
   
   1. Grant funds from current year's appropriation.

   2. Grant funds from all prior years' appropriation.

   3. Total Federal award amount (total of 6A and 6B).

7. Additional funds provided by the State/Indian Tribe (e.g., matching share).

8. Grant performance period.

9. Self-explanatory.

10. Provide the name and telephone number of the State/Indian Tribe staff person most knowledgeable about this proposed grant action.

11. FTE or person-years identified in grant application.

12. Source: OSM Annual Report.

13. Source: OSM Annual Report.

14. Comments unique to this grant action.

EXHIBIT X5-20A-3

UNITED STATES DEPARTMENT OF THE INTERIOR
OFFICE OF SURFACE MINING RECLAMATION AND ENFORCEMENT

Memorandum

To:

From:

Subject: AML Grant Findings and Recommendations

1. APPLICATION PACKAGE

   Is the application complete? Does it contain: (Explain No answers in Section IV.)

   Yes__ No__ N/A__ Application for Federal Assistance, SF 424
   Yes__ No__ N/A__ Budget Information, OSM 49
   Yes__ No__ N/A__ Program Narrative Statement, OSM 51
   Yes__ No__ N/A__ Combined Certification Form, DI-2010
   Yes__ No__ N/A__ Disclosure of Lobbying Activities, SF-LLL
   Yes__ No__ N/A__ Nonconstruction Assurances, SF 424B
   Yes__ No__ N/A__ Construction Assurances, SF 424D

2. GRANT SUMMARY

   Grantee:
   Grant #:
   Type of Grant:
   Total Program Cost:
   Grant Amount Requested:
   Percent of Total Cost:
   Grant Period: from ________ to ________
   Recommended Action:

3. CRITICAL DATES (Milestones During the Review)

   Event	Date
   Application received	___________
   Funding availability confirmed	___________
   Downtime (explain in Section IV)	___________
   Application determined administratively complete	___________
   NIDS transmitted to OC	___________
   [Other pertinent events]	___________

4. ADDITIONAL INFORMATION/SPECIAL CONSIDERATIONS
   1. Summary of Requested Activities
      • Summary indicating (as appropriate):

        Number and Type of Personnel
        Equipment (Highlighting Special Pieces or Quantities)
        Contractual Service Agreements
        Inter-Agency Agreements
        Any Noteworthy Proposals Within Requested Line Items

        Travel
        Office Rental
        Helicopter Time, etc.

   2. Pre-Award Discussions
      • Summary of meeting and/or important conversations highlighting particular issues which may affect grant eligibility, the grant application or any other question or problem.

   3. Findings
      • Summary of review process, incorporating input from other OSM Divisions, which reflects general status of grant eligibility and/or approvability. This should include any affirmative measures taken by the Grantee, in addition to issues involving the Title IV or Title V program or application which may affect the grant award:
        • Completion of all application requirements.

        • Statutory and regulatory authority to administer and enforce the program.

      • Summary should briefly clarify recommended approval/disapproval of exceptional budget proposals.

   4. Recommendation
      • Approval/disapproval of grant application. If disapproval, explain reasons in detail. Recommendation should include any proposed grant conditions.

FEDERAL ASSISTANCE MANUAL
January 2, 1998