DOC

1509.11_40.doc - USDA Forest Service

By Samuel Walker,2014-11-14 07:34
8 views 0
1509.11_40.doc - USDA Forest Service

WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 1 of 48 DURATION: This amendment is effective until superseded or removed.

FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    Table of Contents

40.1 - Authority .......................................................................................................................3

    40.3 - Policy ............................................................................................................................4

    40.4 - Responsibility ...............................................................................................................4

    41 - STATUTORY REQUIREMENTS AND FORMATS .................................................. 5

    41.1 - Cooperative Funds Act of June 30, 1914, as Amended by Public Law 104-127 .............5

    41.11 - General Requirements..............................................................................................5 41.12 - Type of Work ..........................................................................................................6

    41.2 - Granger-Thye Act of April 24, 1950 ..............................................................................7 41.21 - General Requirements..............................................................................................7 41.22 - Type of Work ..........................................................................................................9

    41.3 - Forest and Rangeland Renewable Resources Research Act of 1978, as Amended (only

    for use by Research Stations) .......................................................................................9 41.31 - General Requirements............................................................................................ 10 41.32 - Type of Work ........................................................................................................ 11

    41.4 - Intergovernmental Cooperation Act of 1968, as Amended ........................................... 11 41.41 - General Requirements............................................................................................ 11 41.42 - Type of Work ........................................................................................................ 12

    41.5 - United States Information and Exchange Act............................................................... 13 41.51 - General Requirements............................................................................................ 13 41.52 - Type of Work ........................................................................................................ 13

    41.6 - Federal Employees International Organization Service Act ......................................... 14 41.61 - General Requirements............................................................................................ 14 41.62 - Type of Work ........................................................................................................ 14

    42 - PROCEDURES FOR INITIATING, NEGOTIATIONS, FORMATTING, AND

    EXECUTING COLLECTION AGREEMENTS .................................................... 14

    42.1 - Initiating Collection Agreements ................................................................................. 14 42.2 - Negotiating Collection Agreements ............................................................................. 15 42.21 - Collection Agreements (Contributions) .................................................................. 15 42.3 - Form of Agreement ..................................................................................................... 19

    42.4 - Executing Collection Agreements ............................................................................... 19 43 - PROCEDURES FOR ADMINISTERING COLLECTION AGREEMENTS ............. 19

    43.1 - Official Files ............................................................................................................... 19

    43.2 - Approvals .................................................................................................................... 19

    43.3 - Billing Procedures ....................................................................................................... 19

    44 - PERFORMANCE REPORTS ................................................................................. 20

    45 - PROCEDURES FOR EVALUATING, NEGOTIATING, FORMATTING, AND

    EXECUTING MODIFICATIONS TO COLLECTION AGREEMENTS ................. 20

    45.1 - Modifications to Collection Agreements...................................................................... 20 45.2 - Components of Executed Modification Document ....................................................... 20 45.3 - Modification Execution ............................................................................................... 20

WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 2 of 48 DURATION: This amendment is effective until superseded or removed.

FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

46 - TERMINATIONS, SUSPENSIONS AND DEBARMENTS, OR OTHER

    CONSIDERATIONS ........................................................................................... 20

    46.1 - Terminations ............................................................................................................... 20

    46.2 - Suspensions and Debarments....................................................................................... 20 46.3 - Other Considerations ................................................................................................... 20

    47 - PROCEDURES FOR CLOSE-OUT OF COLLECTION AGREEMENTS ............... 21

    49 - SAMPLES .............................................................................................................. 21

    49.1 - FS-1500-11, Collection Agreement Sample ................................................................. 22 49.2 - FS-1500-11a, Collection Agreement RMEF Reimbursable Sample ............................. 36 49.3 - FS-1500-11b, Collection Agreement, RMEF Advance Sample .................................... 43

WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 3 of 48 DURATION: This amendment is effective until superseded or removed.

FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    A collection agreement is the instrument used for the acceptance of money by the Forest Service from a non-Federal party to carry out a purpose authorized by law. Forest Service furnished supplies, materials, and services may be included in collection agreements (non-cash contribution) as part of the agency’s matching contribution.

    This chapter prescribes uniform administrative requirements applicable to collection agreements. See FSM 1580.3 for direction on deviations from these requirements.

    40.1 - Authority

    The following Federal statutory authorities are available for entering into collection agreements with non-Federal parties:

    1. Cooperative Funds Act of June 30, 1914, (16 U.S.C. 498 as amended by Pub. L. 104-

    127). (FSM 1580.12). This Act authorizes the Forest Service to accept money received

    as contributions toward cooperative work in forest investigations or protection,

    management, and improvement of the National Forest System. Used to accept cash

    contributions.

    2. Granger-Thye Act of April 24, 1950, (16 U.S.C. 572). (FSM 1580.12). Section 5 of

    this Act authorizes the Forest Service to perform work to be done for the benefit of the

    depositor, for administration, protection, improvement, reforestation, and such other

    kinds of work as the Forest Service is authorized to do on lands of the United States:

    (a) on State, county, municipal, or private land within or near national forest land, or

    (b) for others who occupy or use national forests or other lands administered by the

    Forest Service. This authority is used to accept cash contributions.

    3. Forest and Rangeland Renewable Resources Research Act of 1978, as amended (16

    U.S.C. 1641-1646, Pub. L. 95-307). (FSM 1580.13). This Act authorizes

    implementation of a program of forest and rangeland renewable resources research,

    dissemination of the research findings, and the acceptance of gifts, donations, and

    bequests and the investing thereof. This authority is used to accept gifts, donations, cash

    contributions, real, or personal property.

    4. Intergovernmental Cooperation Act of 1968, as amended by the Intergovernmental

    Cooperation Act of September 13, 1982, (31 U.S.C. 6501-6508, Pub. L. 97-258).

    (FSM 1580.11). Title III of this Act authorizes the Forest Service to provide special or

    technical services to States or subdivisions of States upon their written request. This

    authority is used to accept cash contributions.

WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 4 of 48 DURATION: This amendment is effective until superseded or removed.

FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    5. U.S. Information and Exchange Act (22 U.S.C. 1451 and 1479, Pub. L. 97-241).

    (FSM 1580.11). This Act authorizes the Forest Service to cooperate with a foreign

    government by providing at its request Forest Service employees with specific technical

    or professional qualifications. This authority is used to accept cash contributions.

    6. Federal Employees International Organization Service Act (5 U.S.C. 3343 and 3581-

    3584), as amended. (FSM 1580.12). This Act authorizes the Forest Service to detail

    employees to an international organization which requests services for a period not to

    exceed 5 years. This authority is used to accept contributions.

    40.3 - Policy

    In accordance with specific statutory authorities, the Forest Service may accept cash and real or personal property from non-Federal sources to facilitate Forest Service activities. When specific requirements of statutory authorities are met, the Forest Service may deposit funds into trust accounts as advances or accept funds as reimbursements. Each statute has unique requirements, which must be met.

    Agreements, and other agreement type instruments, with incoming funds that are not considered collection agreements, and therefore not addressed here, include, but are not limited to, cost recovery, fee offset agreements, Agreements to Initiate for land exchanges (See, FSH 5409.13, sec. 32.12-32.6), and Interagency Agreements (See chapter 50 of this handbook).

    G&A is not involved in the acceptance of gifts and donations, as permitted under the Acceptance of Gifts Act of October 10, 1978. (7 U.S.C. 2269, Pub. L. 95-442). See, DR-5200-3, which allows the Forest Service to accept gifts, donations, real or personal property, and other proceeds. 40.4 - Responsibility

    1. Payment Bonds. If the total collection is $25,000 or more in the form of reimbursable

    payments, then the Forest Service shall ensure that the cooperator secures a payment

    bond with corporate sureties, deposited securities, or irrevocable letters of credit. This

    does not apply if the cooperator is a governmental entity, that is, a member, division, or

    affiliate of a Federal, State, local government, a federally recognized Indian Tribe; as

    defined by the Federally Recognized Indian Tribe List Act of 1994; or another

    organization funding a Forest Service agreement with pass through funding from an

    entity that is, a member, division, or affiliate of a Federal, State, local government, or a

    federally recognized Indian Tribe, as defined by the Federally Recognized Indian Tribe

    List Act of 1994. Use SF25a, Payment Bond, for processing bond requests.

    2. Indemnification/Liabilities. Each party shall be responsible, to the extent required by

    law, only for the acts, omissions, or negligence of its own officers, employees, or agents.

    The Forest Service shall not accept cooperator language in an instrument that agrees to

WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 5 of 48 DURATION: This amendment is effective until superseded or removed.

FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    indemnify, defend, or hold harmless the cooperator, its agent, or its employees from and

    against any or all losses, damages, liabilities, claims, or judgments resulting from, related

    to, or arising from the instrument. Unless there is specific authority from Congress to do

    so, the Forest Service may not agree to an indemnification agreement. The Anti-

    deficiency Act provides that an officer or employee of the United States Government

    may not involve the Government in a contract or obligation for the payment of money

    before an appropriation is made unless authorized by law. Indemnifications are a

    promise to pay an unknown amount of funds at some time in the future; therefore, they

    are a violation of the Anti-deficiency Act.

    41 - STATUTORY REQUIREMENTS AND FORMATS

    41.1 - Cooperative Funds Act of June 30, 1914, as Amended by Public Law 104-127

See FSM 1580.12 for Statutory Authority.

    41.11 - General Requirements

    1. The funds must be for forest investigation, protection, or for management and

    improvement of National Forest System lands.

    2. The Forest Service shall have appropriations available for activities proposed for the

    agreement. Reimbursable billings are authorized under the Act; however, a payment

    bond may be necessary (sec. 40.4, and FSH 6509.11k). (See also, FSM 6561.7,

    Collection Agreement Bonds, for a list of acceptable payment bonds.) Account for

    contributed funds separately by the type of contribution. When funds are contributed in

    the form of advance payments, such funds must be deposited and apportionment

    authority received, prior to starting work. When contributed funds are provided in the

    form of reimbursement payments, such funds must be deposited as a reimbursement to

    the Forest Service funds initially used for such work. Account for contributions and

    deposit collections in accordance with FSM 6512.23b and FSM 6530.

    3. Work must benefit a Forest Service program, and the Forest Service shall accomplish

    the work by using its own personnel, procurement contract, agreement, or other

    appropriate method.

    4. Contributions must be voluntary and may be in consideration of a resource or service

    furnished by the Forest Service.

    5. Contributions may cover all or part of the cost of the work. Provide refunds of

    contributed funds, as soon as practical following completion of work, to the cooperator

    when the excess of final project costs are $25 or more, unless:

    WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 6 of 48 DURATION: This amendment is effective until superseded or removed.

    FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    a. The cooperator authorizes the use of the funds for a new project; or,

    b. The cooperator waives the right to the refund in writing.

    6. Contributors may not be assessed for overhead charges if there is mutual benefit between the Agency and the contributors. See, FSH 1909.13, chapter 40 for the

    directions on determining the applicability of overhead charges. The annual overhead assessment rates are included in the Program Direction, found by navigating to http://fsweb/results, and selecting Budget Overview, and then Plan.

    7. Acceptance of funds must not be conditioned upon endorsement of firms or products. Avoid the appearance of endorsement in any written materials, that is, company advertisement of products, acknowledgement certificates, or memoranda. 8. The appearance of a conflict of interest or any actions that may embarrass the agency must be avoided.

    9. The Forest Service, or anyone acting on behalf of the Forest Service, does not have the authority to solicit money, either verbally or in writing. Only the National Forest Foundation has been congressionally designated to solicit money on behalf of the Forest Service. The Forest Service may apply for grants only to the extent it may receive the grant funds without violating the prohibition against soliciting. Typically, this means that the granting organization offers the grant through open competition. 10. Contributions other than cash, checks, or money orders must not be accepted. Acceptance of services, equipment, materials, and supplies are not authorized.

    41.12 - Type of Work

    See section 49 for sample agreements. Examples of permissible work under the Cooperative

    Funds Act of June 30, 1914, as Amended by Public Law 104-127 include:

    1. The construction and maintenance of national forest improvements, such as roads, fences, range improvements, and recreation areas.

    2. The protection of the national forests from fire, insects, and diseases. 3. Forest investigations, such as timber surveys or water monitoring on national forest lands.

    4. Contributions from the State for wildlife habitat improvement work on national forest lands.

WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 7 of 48 DURATION: This amendment is effective until superseded or removed.

FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

41.2 - Granger-Thye Act of April 24, 1950

See FSM 1580.12 for Statutory Authority.

Section 5 of the Granger-Thye Act of April 24, 1950, “Assisting to Perform Work on Other

    Jurisdictions,” is the applicable section providing authority for forest protection, improvement, and reforestation activities on land within or near a national forest. These types of activities require external agreements (as described in FSM 1580) with non-Federal parties.

    The Granger-Thye Act is also the authorizing legislation for many other activities undertaken by the Forest Service that do not require 1580 agreements be executed. Two of the most often used sections outside of the purview of grants and agreements are listed below.

    1. Section 7 of the Act provides authority for use of federally-owned structures and

    improvements by the public, private agencies, corporations, firms, associations, and

    individuals (see FSM 2700 Special Uses). This section allows the Forest Service to

    collect funds from a permittee for occupancy and use and to reimburse the Forest Service

    for reconditioning and maintaining facilities if the permittee is unable to do so. The

    permit may be amended at any time to include these activities. Payment to the Forest

    Service is accomplished under the permit. Section 7 permits are the responsibility of the

    Deputy Chief for National Forest System (NFS) and the NFS staff areas, specifically,

    Lands and Recreation.

    2. Section 9 of the Act provides for sale of nursery stock to States and political

    subdivisions and to public agencies of other countries, at rates not less than the actual or

    estimated cost to the Federal Government (see FSM 2473). Reimbursements to the

    Government are accomplished through the Working Capital Fund (WCF) Branch of the

    Albuquerque Service Center (ASC). External agreements under the auspices of

    FSM 1580 should not be executed to document these transactions. Section 9 sales of

    nursery stock are the responsibility of the Deputy Chief for National Forest System (NFS)

    and the NFS staff areas, specifically Timber Management.

    41.21 - General Requirements

    1. Although the principal reason for these agreements is the contributors desire to have

    work done for which they are responsible, there must be some public benefit, even

    though indirect, from the accomplishment of the contemplated work.

    2. The Forest Service may not do work for individuals or organizations merely as a

    matter of accommodation, or because the agency is better equipped, or can do the work at

    a lower cost. Agreements should not be initiated solely for the benefit of the cooperator

    or the Forest Service, that is, to supplement the use of Forest Service crews or equipment

    not otherwise justified on a full-time basis for normal Forest Service activities.

    WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 8 of 48 DURATION: This amendment is effective until superseded or removed.

    FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    3. Acceptance of funds must not be conditioned upon endorsement of firms or products. Avoid the appearance of endorsement in any written materials, that is, company advertisement of products, acknowledgement certificates, or memoranda. 4. Work off of National Forest System lands is authorized under the Granger-Thye Act of April 24, 1950, provided that the cooperator agrees to fund the portion of the work for which they are responsible, and to not hold the Forest Service liable for any damage incident to the performance of the work.

    5. Contributions may cover all or part of the cost of the work. Provide refunds of contributed funds, as soon as practical following completion of work, to the cooperator when the excess of final project costs are $25 or more, unless:

    a. The cooperator authorizes the use of the funds for a new project; or,

    b. The cooperator waives the right to the refund in writing.

    6. The appearance of a conflict of interest or any action that may embarrass the agency must be avoided.

    7. The Forest Service, or anyone acting on behalf of the Forest Service, does not have the authority to solicit funds.

    8. Acceptance of services is not authorized.

    9. Conditions for collection agreements involving work on State, county, municipal, or private land, including administration, protection, improvement, reforestation, or other kinds of work the Forest Service is authorized to do on its lands are listed in paragraphs a through e. Do not authorize the rental of equipment or general contracting.

    a. Prior to starting the work, receive apportionment authority and ensure that the

    cooperator either deposits sufficient funds to cover the estimated cost of work,

    including overhead, if applicable, or meets the requirements for reimbursement

    (FSM 6512.12a).

    Where work benefits both the cooperator and the Government, ensure that the

    cooperator deposits an amount equal to the estimated cost of the portion of the job

    attributable to the cooperator.

    b. In establishing rates to cover costs:

    (1) Include all costs to the Government, including overhead, if applicable.

WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 9 of 48 DURATION: This amendment is effective until superseded or removed.

FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    (2) Conduct a thorough analysis of the job, like the analysis used for determining

    rates for surveying State and privately-owned lands.

    (3) Retain the analysis and support data in the official file.

    c. Contributed funds must be given to the Forest Service voluntarily. Although the

    cooperator may be required to perform the work under other authority such as State or

    local law, contract, permit, or license, the Forest Service may not require the

    cooperator to enter into the arrangement with the Forest Service and deposit funds.

    d. The project or work must be:

    (1) On land in State, county, municipal or private ownership, and situated within or

    near a national forest.

    (2) Close enough to facilitate the administrative work on the national forest, for

    example, hazardous fuels reduction work where the non-Federal lands are

    interspersed with or adjacent to national forest lands.

    e. Work is authorized provided that the cooperator agrees not to hold the Forest

    Service liable for any damage incident to the performance of the work. 41.22 - Type of Work

    See section 49 for sample agreements. Examples of work permissible under the Act include:

    1. Cruising, marking, scaling, and otherwise assisting in the proper management of both

    Federal and non-Federal timber stands.

    2. Administering forest resources in accordance with sound conservation practices on

    non-Federal forest lands.

    3. Conducting wildlife activities on non-Federal lands under agreements with State game

    commissions or others.

    4. Surveying to establish common boundaries.

    41.3 - Forest and Rangeland Renewable Resources Research Act of 1978, as Amended (only for use by Research Stations)

    See FSM 1580.13 for Statutory Authority. This Forest and Rangeland Renewable Resources Research Act of 1978, as amended applies only to research. It authorizes the acceptance of donations, contributed funds, and real or personal property by the Forest Service.

    WO AMENDMENT 1509.11-2009-1 1509.11_40 EFFECTIVE DATE: 10/20/2009 Page 10 of 48 DURATION: This amendment is effective until superseded or removed.

    FSH 1509.11 GRANTS, COOPERATIVE AGREEMENTS, AND OTHER AGREEMENTS HANDBOOK

    CHAPTER 40 COLLECTION AGREEMENTS

    41.31 - General Requirements

    1. Section 4(a) of the Act authorizes the acceptance and use of donations, together with appropriated funds, to acquire land or interests in land within the United States to carry out the purposes of the Act.

    2. Section 4(b) of the Act authorizes the acceptance of gifts, donations, bequests of money, and real property or personal property from any source not otherwise prohibited by law. Section 4(b) also authorizes the administration and use of these gifts, donations, and bequests to:

    a. Establish or operate any forest and rangeland research facility within the United

    States, District of Columbia, Puerto Rico, Virgin Islands, Northern Mariana Islands,

    Trust Territories of the Pacific Islands, and other territories and possessions of the

    United States, and

    b. Perform any forest and rangeland renewable resource research activity authorized

    by the Act.

    3. Section 4(c) of the Act authorizes the acceptance and use of contributed funds from international, Federal, State, and other governmental agencies; public and private agencies, institutions, universities, and organizations; and businesses and individuals in the United States and other countries. These contributed funds may be used to conduct research activities authorized by the Act and to make refunds to cooperators. 4. Contributed and donated funds received as authorized by sections 4(a) and 4(c) must be deposited in the Cooperative Work Fund (CWFS-Other for advance contributions) or Research Fund Code (GDGD for Gifts/Donations or FRXN for reimbursable

    contributions). Keep the funds available until expended in accordance with the Act and the agreement between the donor or cooperator and the Forest Service (for example, a Participating Agreement under ch. 70 of this handbook).

    5. These funds and proceeds from the disposition of such real and personal property must be deposited in the special Research Investment Fund. Expend funds deposited in this account for the purposes indicated in sections 4(a), 4(b), and 4(c) of the Act only to the extent such amounts are appropriated in the annual appropriation acts.

    6. The acceptance must not contain conditions for the endorsement of firms or products. Avoid the appearance of endorsements in written materials, that is, company advertisements of products, acknowledgement certificates, or memoranda. 7. Agency officials may accept donations from various entities and use them to accomplish the agency's mission. Agency officials shall:

Report this document

For any questions or suggestions please email
cust-service@docsford.com