COOPERATIVE FUNDING AGREEMENTS

Report
UNCLASSIFIED / FOUO
2012 NASMRM Training Symposium
NGB Cooperative Agreement Program –
A Unique Federal/State Partnership
Presented By
Mary Ellen Lewis
23 May 2012
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Topics of Discussion
 NGB CA Program –
A Unique Federal/State Partnership
 Overview of the NGB CA Program
 Current Challenges
Lessons Learned-Best Practices
 Strengthening the Partnership as We Go Forward
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NGB CA Program –
A Unique Federal – State Partnership
It IS a unique Partnership:
- Between the Federal Government, the Grantor and
the Adjutant General of the State Military
Department, the Grantee
- Through this Partnership Federal Assistance funds
flow to the Grantee for the purpose of training,
maintaining and equipping the State’s National Guard
- Nothing else like it in the Grants and CA world
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A Unique Federal – State Partnership (Cont’d)
- Our Agreements are not competitive
--Primarily 3 Catalog of Federal Domestic
Assistance (CFDA) Programs –
12.401 O&M
12.400 MILCON
12.404 NG Youth Programs Numbers
CFDA lists hundreds of Programs, individuals and
organizations can compete for – not the case with our
three Programs
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A Unique Federal – State Partnership (Cont’d)
- NG’s Authority for Entering into CAs
-- 32 USC Section 106 and 107 (O&M)
-- 10 USC Chapter 1803 (Construction)
-- 32 USC 501 (StarBase)
-- 32 USC 509 (ChalleNGe)
Statutory Authority must exist – if Authority is other
than listed above, a Special Military Project Cooperative
Agreement will be executed
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A Unique Federal – State Partnership (Cont’d)
31 USC Section 6305 –
Using Cooperative Agreements
A Cooperative Agreement shall be used if the principal
purpose of the relationship is to transfer a thing of value to
a Non-Federal entity to carry out a public purpose of
support and substantial involvement between the
executive agency and the recipient is expected in carrying
out the activity in the Agreement
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A Unique Federal – State Partnership (Cont’d)
31 USC Section 6305 –
Translation:
 When a Federal entity (NGB)
 Transfers a thing of value (cash/in-kind assistance)
 To a Non-Federal entity (State Military Department)
 To assist or support a public purpose (SMD Operations)
 That are authorized by Federal law (statutory authority)
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Overview of the NGB CA Program
Who are We?
We reside within the NGB Office of the Principal
Assistant Responsible for Contracting (NGB-PARC)
The Office of the PARC is responsible for policy
development, ensuring and assessing compliance,
with policy, and all training related to Grants and
Cooperative Agreements, Federal Contracts, ECommerce, Government Purchase Cards, and
Contingency Contracting
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Overview of the NGB CA Program
NGB Grants and Cooperative Agreements
(NGB-PARC-A)
Mary Ellen Lewis
Chief
703-607-5284 [email protected]
Kate Brown
703-601-4380
Program Assistant
[email protected]
Dave Shaw
Program Analyst
Joe Wannemacher
Program Analyst
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Overview of the NGB CA Program
NGR 5-1, National Guard Grants and
Cooperative Agreements
Directs policy, procedures and guiding principles
for the execution and management of NGB
Cooperative Agreements
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Overview of NGB CA Program
NGB-PARC-A Responsibilities –
•
•
•
•
Development of policy for the execution and management of CAs
Coordinating the staffing and updates of CAs and Appendices
Conducting policy reviews of CAs and Appendices
Providing policy management and support to ensure that all NGB
assistance programs comply with Federal laws, executive orders,
regulations and directives
• Providing support, assistance, training and guidance to NGB and
USPFO staffs
• Appointment of USPFOs as Grants Officers
• Serving as the proponent office for NGB-Sponsored CA Training
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Overview of the NGB CA Program
NG’s Cooperative Agreements Program
It’s a Huge Program –
FY11 – $1,905,769,993 Awarded Through CAs
to the States
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FY11 CA Awards – Your States
Recipient
FY11 CA Awards
Federal Dollars
Recipient
Federal Dollars
Alabama
$42,475,779 Idaho
$26,805,785
Alaska
$27,429,710 Maine
32,472,999
Arkansas
$47,625,832 Maryland
$8,148,347
Colorado
$13,457,787 Michigan
$60,092,847
Delaware
$9,429,475 Montana
$25,800,808
DC
$1,634,234 Nebraska
$28,392,800
Florida
$41,208,347 Nevada
$15,857,800
Georgia
$93,743,559 New Jersey
$11,689,247
Hawaii
$28,443,754 New Mexico
$11,978,624
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FY11 CA Awards – Your States (Cont’d)
Recipient
FY11 CA Awards
Federal Dollars
Recipient
Federal Dollars
North Dakota
$12,630,561 SC
$22,978,229
Ohio
$28,344,070 Tennessee
$19,788,537
Oklahoma
$38,734,855 Texas
$122,516,888
Oregon
$42,252,172 Utah
$32,039,250
PA
$49,908,003 Virgin Islands
Rhode Island
$9,606,773 WV
$3,012,891
$20,291,377
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Overview of the NGB CA Program
Types of Agreements:
• Master Cooperative Agreement (MCA)
– Separate (Program) Appendices under MCA
• Master Construction Cooperative Agreement (MCCA)
• Special Military Project Cooperative Agreements
– Not under MCA or MCCA
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Overview of NGB CA Program
•Master Cooperative Agreement (MCA) –
The MCA includes standard terms and conditions
applicable to all Appendices under the MCA
•Appendices –
Provides guidance, policy, terms and conditions
relative to the Program which the Appendix supports
ARNG – 12 Program Appendices
ANG – 10 Program Appendices
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Overview of NGB CA Program
ARNG Appendices
Appendix
Program
1
ARNG Facilities Programs
2
ARNG Environmental Programs Resources Mgt
3
ARNG Security Guard Activities
4
ARNG Electronic Security System, Installation O&M
5
ARNG Command, Control, Communications, Computers Info Mgt (C4IM)
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ARNG Sustainable Range Programs
10
ARNG Anti-Terrorism Program Manager Activities
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ARNG Administrative Services Activities
15
ARNG Air and Surface POL
17
ARNG Aviation Reimbursable Maintenance Operations
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ARNG Distributive Learning Program
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Family Support Activities
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Overview of the NGB CA Program
ANG Appendices
Appendix
Program
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ANG Facilities Operations and Maintenance Activities
22
ANG Environmental Program Management
23
ANG Security Guard Services
24
ANG Fire Protection Activities
25
ANG Natural and Cultural Resources Management
26
ANG Air Traffic Control Activities
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ANG Logistics Facilities
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ANG Services Resource Management
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ANG Combat Readiness Training Center Base Operations Support
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Overview of the NGB CA Program
Military Construction Cooperative
Agreement (MCCA) –
• ARNG MCCA
– Appendices SP,SD,SC
• ANG MCCA
– Appendices SD, SC, UC
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Overview of the NGB CA Program
Special Military Project Cooperative Agreements
(Stand-Alone Agreements)
• NG Youth Programs
ChalleNGe
StarBase
• ARRA of 2009 (Recovery Act)
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Overview of the NGB CA Program
CA Execution –
• Agreements signed by USPFO and TAG
• Legally binding documents
– Usually renewed every 5 years
– Funded annually
• Managed by a CA PM in your State
• Coordinated thru NGB-OPR-PM
– Annual Budget
– Administration of Appendix
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Overview of the NGB CA Program
CPP
• Negotiated annually between the Grantee and the
USPFO, and approved by the USPFO
• Two methodologies can be used to formulate the CPP:
Time Study of Personnel
Fee-Per-Action
• Supervisory time not included, except a supervisor
whose time can be allocated and validated to the
performance of non-supervisory functions
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Overview of the NGB CA Program
Reporting Requirements
Recovery Act-funded CAs – Quarterly Reporting
SMD reports to federalreporting.gov
GOR reviews reports for accuracy and comments
FSRS Reporting – Ongoing
All CAs with sub-recipient awards over $25,000
SMD reports Sub-recipient data to fsrs.gov –
much of the data is pre-populated from CCR and
DUNS registrations
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs –
BLUF – Indirect Costs the Federal Government will
reimburse are Fringe Benefits on Direct Labor
(employee’s salary) to include:
– Worker’s Compensation
– Unemployment Compensation
– Life and Health Insurance
– Retirement Plan
Ref: Policy Memorandum dated 11 Feb 08, Subject: NGB Policy on
Payment of Indirect Charges – Cooperative Agreements
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs (Cont’d) –
Over the past 3 years State’s have come forward with
creative ways to seek reimbursement for indirect
costs – many stemming from Agreements made
between the States and the employee unions, and
most related to early retirement incentives.
This and other requests/proposals prompted some of the
changes you see in Appendix 24, ANG Fire
Protection Activities:
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs (Cont’d) –
Ancillary charges such as monthly or one-time
worker’s compensation payouts; additional prior- or
post-year retirement costs; additional costs associated
with post-retirement health insurance; early retirement
incentives, bonuses or payouts, including postretirement monthly payment of vacation or annual
leave, shall not be authorized.
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs (Cont’d) –
Reimbursement of costs associated with arbitration
services, professional or otherwise, in the negotiation
and settlement of a grievance or other formal
complaint filed by an employee or a group of
employees, shall not be authorized. These are
matters between the State and the employee(s), and
such costs shall be borne by the State.
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs (Cont’d) –
Reimbursement of costs incurred by, or associated
with, the process of collective bargaining between the
State and its employees covered by a Bargaining Unit
(a legally organized labor union) for the purposes of
negotiating matters involving employee issues, such
as general working or safety conditions on the job,
salary, benefits, job qualifications and the like, shall
not be authorized.
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs (Cont’d) –
Reimbursement of increased costs relating to
employment issues agreed to in a Collective
Bargaining Agreement between the State and its
employees covered by a Bargaining Unit, such as
increases in salaries, benefits, etc., shall not be
authorized. Increases in such costs shall be borne by
the State.
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs (Cont’d) –
Again, the Federal Government, with limited
exceptions, will not reimburse Indirect Costs:
1. The Federal Government is experiencing the
same cut-backs in funding as the States –
You heard it from the NGB Comptroller, Mr.
Cabrera on Monday – he described the cuts NGB will
experience over the next 5 years – they’re drastic.
The Federal Government simply doesn’t have the
money to pay these indirect costs.
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Current Challenges –
Lessons Learned and Best Practices
Indirect Costs (Cont’d) –
2. If we were to pay indirect costs – those funds
would come out of the funding available to train,
maintain and equip the State’s National Guard –
Congress will not appropriate additional funding.
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Current Challenges –
Lessons Learned and Best Practices
Federal – State Expenditures
FY08 – FY11
Year
Federal
2011
2010
2009
2008
$1,905,769,993
$1,955,914,570
$2,132,243,523
$1,984,753,354
State
$178,878,890
$202,727,584
$210,480,934
$156,870,950
% State
9.38%
10.36%
9.87%
7.90%
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Current Challenges –
Lessons Learned and Best Practices
Federal – State Expenditures
FY07 – FY00
Year
2007
2006
2005
2004
2003
2002
2001
2000
Federal
$1,703,247,080
1,878,208,659
610,655,413
1,297,726,079
1,147,677,259
1,113,084,675
699,476,931
989,941,890
State
158,151,939
138,244,608
86,021,416
125,870,413
97,684,851
105,382,969
82,773,314
94,821,376
% State
10.77%
7.36%
14.00%
9.70%
8.50%
9.47%
11.80%
9.58%
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Current Challenges –
Lessons Learned and Best Practices
Oversight and Surveillance of Services
Ensure CA PM conducts oversight and surveillance
of project or services as work proceeds to ensure
services are performed in accordance with the scope
of the Agreement, and to ensure deliverables or end
product is delivered as required by the Agreement.
Impact: Change to NGR 5-1, Chapter 1-4,
Responsibilities, and Sample DD 577
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Current Challenges –
Lessons Learned and Best Practices
Inspection and Acceptance of Construction
(This relates to Oversight and Surveillance, above).
Add inspection and acceptance award term to
MCCAs and applicable Appendices. Impact:
Change to NGR 5-1; change to MCCA, MCA and
Appendices.
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Current Challenges –
Lessons Learned and Best Practices
Review of Costs Submitted for Reimbursement
Emphasis on a thorough review of costs to ensure
they are authorized/allowable for reimbursement.
Impact: Change to NGR 5-1, Chapter 11-4, Payment
Processing (to emphasize responsibilities), and
Appendices, Unauthorized Costs, to include reference
to 2 CFR Part 225, if in doubt as to whether costs are
allowable or not
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Current Challenges –
Lessons Learned and Best Practices
Use of Standard Agreement Templates
Any changes to the standard Agreement templates
require review and approval of the NGB-OPR-PM,
NGB-PARC and NGB-JA. Under no circumstances
will sub-grants, State contracts, sub-recipient
proposals be incorporated into the MCA, MCCA or
Appendices. Impact: Change to NGR 5-1, Chapter
3-1, Administration
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Current Challenges –
Lessons Learned and Best Practices
Reconciliation and Closeout of Agreement
Emphasize requirement for timely closeout, 90-days
after the end of the Federal fiscal year, unless TAG
submits a written request to the USPFO that
Appendix remain open; and proper reconciliation of
final balance. Impact: Emphasis to NGR 5-1,
Chapter 11-10, Final Accounting and Settlement
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Current Challenges –
Lessons Learned and Best Practices
Approval of Requests for Reimbursements, SF 270,
by the USPFO or Designee
GFEBS procedures require SF 270 be signed by the
USPFO or designee. DD 577 signature card for
USPFO and designee (if applicable) must be on file
with DFAS; NGB-PF will sign DD 577. Impact:
Change to NGR 5-1, Chapter 11-4, Payment
Processing (ARNG and ANG) and NGR 5-1, Chapter
1-4e., Responsibilities
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Strengthening The Partnership as We Go Forward
By:
• Working out Issues, processes, and business practices
together – At the lowest levels, elevate only if unable
to resolve
• Training together – Attending our NGB CA Training;
whether it’s sponsored by the USPFO in your State,
Open CA classes, VTC on topics that affect us all
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Strengthening The Partnership as We Go Forward
By:
Partnering with NASMRM on future initiatives such
as the review and update of NGR 5-1, NGB
Cooperative Agreement Training, and any critical
issues that have an effect on the execution and
management of CAs. Possibly bring back CA
training as part of the Symposium and possibly even
Fiscal Law – these would be tailored to the
NASMRM audience. I’ve been tasked to work on this
– form a Working Group and develop a COA to
present to NGB-ZC by July 2012
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Strengthening The Partnership as We Go Forward
To take it one step further I will ask for your help
Jesse, that together, we find a way to bring an
awareness of our CA Program to the TAGs – through
training, participating in their venues, i.e., TAG
Orientation, NGAUS, Senior Leadership forums, etc
– so there’s a greater awareness and understanding of
this Program.
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Thank You – Shawn and Jesse
for asking me to participate in this year’s
Symposium.
All of you that spoke up with a question, those that
raised issues you’re facing, or commented on best
practices in your State added real value to the
discussion and the learning that took place here.
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