Federal Assistance Manual Chapter 5-30A

CHAPTER 5-30A AML GRANT PROGRAM POST-AWARD CHANGES THAT REQUIRE PRIOR APPROVAL

• 5-30A-00 Purpose
  
• 5-30A-10 Applicability
  
• 5-30A-20 OSM Policy
  
• 5-30A-30 Changes

5-30A-00 PURPOSE

This chapter provides OSM policy and procedures when requiring recipients to request prior approval for changes to AML grants.

5-30A-10 APPLICABILITY

This chapter is applicable to all AML grants awarded by OSM.

5-30A-20 OSM POLICY

1. Proposed changes to the official grant agreement shall be submitted for OSM approval in advance of the actual change or obligation. By incurring costs prior to approval of an amendment, the recipient takes the risk that Federal funding may not be available or allowed.

2. No request for a change to a grant (i.e., extension of time, addition of a budget/cost category, additional funding) received after the scheduled end of the performance period will be honored unless there are unforeseen circumstances not under the direct control of the recipient. Such extenuating circumstances must be justified to the satisfaction of the designated OSM Regional/Field official.

3. Normally requests for extensions of the performance period should be received by OSM at least 45 days prior to the scheduled expiration date. Normally OSM will honor only one extension of the normal period of performance; the extension may not be for more than one year, unless special or unusual circumstances are adequately justified to OSM. This policy does not apply when the original grant is awarded for less than the normal performance period due to budget constraints and, as funds become available, the grant is extended to its normal performance period.

5-30A-30 CHANGES

1. The requirements for prior approvals for changes to grants are established in the Common Rule (codified at 43 CFR Part 12, Subpart C). The following changes, applicable to the AML program, require a formal amendment to an approved OSM grant award. (See format for amendment document at exhibit X5-30A-1.)
   1. The need for additional funding;

   2. The need to deobligate funds;

   3. The need to extend the performance period;

   4. The need to fund an additional budget/cost category;and

   5. The need to make a fund or budget transfer from onebudget/cost category to another budget/cost category.

2. All other changes may be approved by letter notification.

3. Under the revised AML grant program, unless additional funding for the specific budget/cost category is required, changes to a specific construction project or the addition of a new construction project which fit the broad scope or objectives of the original AML Project Costs budget/cost category will not require a formal amendment to the grant. However, these changes or additions may require NEPA compliance.

4. An amendment may be initiated by either the recipient or OSM. However, both parties must be in agreement with the amendment terms. The amendment is effective upon the signature of the designated OSM official and applies to the entire grant period unless otherwise stated. The approved amendment becomes part of the original agreement. Multiple changes should be made by a single amendment whenever possible.

5. Submittal and Approval of Amendments.
   1. Recipients shall submit one original and and up to two copies of the requested changes to the previously approved application. The amendment request shall include: the application facesheet, SF 424, identifying the type of change in item 8; program narrative statement, OSM 51, providing a narrative justification for the requested change; and, as appropriate, a revised budget information report, OSM 49.

   2. Amendments closing the administrative budget/cost category also require submittal of an OSM-60, Report of Government Property, to transfer accountability for grantee-purchased property to the next administrative budget/cost category and a separate OSM-60 to request disposition instructions for federally-owned property. (See chapter 5-70A for instructions on completing the OSM-60.)

   3. Review and approval actions shall be documented in an amendment findings and recommendations memorandum (see Exhibit X5-30A-2).

   4. Requests for monetary increase amendments to the AML Emergency Program budget/cost category shall processed as expeditiously as possible using compressed review and approval procedures.

   5. All other amendments shall be processed in accordance with the provisions outlined in Chapter 5-20A-20. Amendments not involving an increase in funding do not require the submission of a NIDS.

EXHIBIT X5-30A-1

AMENDMENT ____ TO GRANT AGREEMENT NO. ________________

The United States of America, acting through the Director of the Office of Surface Mining Reclamation and Enforcement (OSM) or his delegate and the State/Tribe named below acting through its designated agency mutually agree, pursuant to the Surface Mining Control and Reclamation Act of 1977, P.L. 95-87, U.S.C. § 1201 et seq., to amend the above referenced grant agreement dated ________.

This amendment [adds/extends/deobligates] ___________________.

This amendment takes effect at the time of signing by the Director, OSM, or his authorized delegate and applies to the entire grant period unless otherwise stated above. In all other respects, the agreement of which this is an amendment shall remain in full force and effect.

EXHIBIT X5-30A-2

United States Department of the Interior
Office of Surface Mining Reclamation and Enforcement

Memorandum

To:

From:

Subject: Grant Amendment Findings and Recommendations

1. DOCUMENTS SUBMITTED
   • Application for Federal Assistance, SF 424: Yes___ No___ N/A___

   • Budget Information Report, OSM 49: Yes___ No___ N/A___

   • Program Narrative Statement, OSM 51: Yes___ No___ N/A___

   • Other: ____________________________: Yes___ No___ N/A___

2. GRANT SUMMARY
   1. Current

      State:
      Grant No.:

      Type of Grant:

      Total Program Amount (Federal and State Share):

      Current Grant Period:

   2. Amendment Request

      Type of Amendment Request:
      Amount of Amendment Request (Federal Share):
      Revised Total Amount (Federal and State Share):
      Revised Grant Period:

3. CRITICAL DATES (Milestones During the Review)

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

4. RECOMMENDED ACTION:

FEDERAL ASSISTANCE MANUAL
January 2, 1998