500.18 - Grants (Funds-in) - Application and Acceptance

Issuance Number:     500.18

Subject:                           Grants (Funds-in) – Application and Acceptance   

Issuance Date:            9/27/2022

Expiration Date:        9/24/2027

Responsible Office:   Office of Administration, Office of Policy and Analysis

Instruction:                 This is a new Survey Manual (SM) chapter.

Approving Official:    /s/ Shari DeLung

                                      Acting Associate Director for Administration

1.    Purpose.  This SM chapter establishes the U.S. Geological Survey (USGS) policy and general procedure for USGS to apply for and accept grants for which funds or resources are competed and provided to the USGS from outside sources.

2.    Scope.  

A.  Applicability.  This SM chapter covers application for and acceptance of grants (funds-in) to the USGS based on statutory authorities that permit the USGS to accept grants.  The definition of a grant is provided in Section 6, Definitions. 

B.  Exceptions.  The provisions of this SM chapter do not apply to the following situations:  

(1)  A Federal organization invites only other Federal organizations to apply for a grant.

(2)  A competition for funds is made available only to USGS. 

(3)  An organization requests the USGS submit a proposal for a science effort, but it is not in a competitive situation (even if the providing organization calls the opportunity a grant).

(4)  The USGS enters into a reimbursable agreement with an organization that has been awarded a grant where the USGS was not specifically involved or identified in the proposal or competition. 

3.    Authority.  USGS authorities to accept grants consistent with the USGS mission include:

A.  43 U.S. Code (U.S.C.) § 36c, which authorizes the USGS “to accept lands, buildings, equipment, and other contributions from public and private sources and to prosecute projects in cooperation with other agencies, Federal, State, or private.” 

B.  15 U.S.C. § 3710a, et seq., which authorizes Federal laboratories to provide personnel, services, facilities, equipment, intellectual property, or other resources with or without reimbursement.  Non-Federal parties may provide similar resources and funds for conducting specific research or development efforts consistent with the mission of the USGS. 

C.  Any other general or program-specific authorization or appropriation giving another organization the authority to provide a grant to the USGS. 

4.    References.  

A.  Departmental Manual (DM), 374 DM 6, Donations, to the extent applicable and instructive of ethics considerations.

B.  Comptroller General Decision B-255474, dated April 3, 1995, which states that Federal organizations with authority to accept gifts or contributions may apply for and accept grants which are in furtherance of their mission. 

C.  SM 500.18, Grants (Funds-In) – Application and Acceptance Handbook 

D.  SM 205.13, Delegations of Authority to Enter into Agreements and to Accept Contributions, Appendix A 

E.  SM 431.6, Records Disposition 

F.  383 DM 1-13 for Privacy Act  

G.  Procedure in the Grants (Funds-in) – Application and Acceptance Handbook defers to the Bureau’s internal Financial Operating Procedures (FOP) when applicable.

5.    Policy.  

A.  Permission to Apply for a Grant.  Any USGS employee who intends to submit a proposal for a grant opportunity must obtain confirmation in writing, for their record, that Federal entities are eligible to apply for the grant.  If Federal entities are eligible to apply, the Center must complete the Form 9-3090, Request to Apply for a Grant Funds-In Award, prior to submitting the proposal.  In the case of submitting a pre-proposal, the employee must obtain at least written supervisory approval before completing their submission. 

USGS volunteers and Scientist Emeriti may participate in the proposal process as a Co-PI, Scientific Personnel, or Technical Expert.  Contractors and affiliates, such as university affiliates, are not eligible to register accounts in grants management systems such as Research.gov, NSPIRES, and Grants.gov for the purposes of applying to grant award opportunities under the USGS Organization.  Contractors are not permitted to assume the role of Principal Investigator (PI) or Co-PI in a USGS proposal. 

B.  Federal Organization Status.  Grant proposals, including proposals where the USGS is cooperating with another organization to submit a grant proposal, must clearly state that the USGS is a Federal organization. 

C.  Fairness of Opportunity.  USGS must strive to ensure that outside organizations have fair access to collaborative opportunities and USGS scientific expertise.  Centers must strive to ensure there would be no perception of unfair competition or endorsement of the Grant Sponsor if a grant award were made to USGS.

D.  Sub-awarding of Grants to non-USGS Organizations.  If a grant proposal includes a provision for the USGS to support performance with a non-USGS organization, the Center submitting the proposal must consult OAG for guidance prior to submitting the proposal.

E.  Intellectual Property Considerations.  If the USGS is submitting a proposal for grant funds from a non-Federal organization, the Center receiving the funds must consult the Office of Policy and Analysis (OPA) for review of any intellectual property terms.  OPA will consult the Department of the Interior (DOI) Office of the Solicitor (SOL) for legal guidance, as needed. 

F.  Denying a Grant Proposal or Award.  The decision to deny a grant that does not comply with DOI or USGS requirements must be made at the lowest level possible, starting with the Center Director.  Related issues may be elevated through OPA to the DOI SOL if the need arises. 

G.  Acceptance of a Grant.  The Center must execute an OPA-reviewed and -approved agreement through the approved Agreement Review System in order to accept a grant award unless otherwise provided in SM 205.13, Appendix A.  

H.  Special Terms or Conditions.  OPA will coordinate any special legal terms or conditions that do not apply to the Federal Government with the DOI SOL, Division of General Law, and other offices, as applicable.

6.    Definitions.  

A.  Authorized Official.  A USGS employee delegated the authority, per the delegation in SM 205.13, Appendix A, to approve an application for a grant on behalf of the USGS.  The responsibilities of Authorized Officials are enumerated in Section 8, Responsibilities.   

B.  Grant.  A grant is a program in which a grant-making organization (or Grant Sponsor) makes funds or other resources, including in-kind support, available to eligible participants through a competitive process.  A grant may come to USGS either directly as a Prime Award or indirectly as a Sub-award. 

C.  Intellectual Property.  Work or invention to which a party has rights and for which the party may apply for a patent, copyright, or trademark.

D.  Principal Investigator.  The PI, sometimes referred to as the Project Chief (for example, in USGS finance systems), is the lead USGS employee submitting a proposal to a grant opportunity.

E.  Proposal.  A PI’s application to a Request for Proposals (RFP) from a Grant Sponsor, with the goal of approval and funding. 

F.  Request for Proposals.  An announcement from one party that solicits proposals from other parties or organizations to accomplish a specific objective.  An RFP may be referred to by other terms such as a Call for Proposals, Solicitation of Proposals, or Request for Applications.

7.    Grant Application and Acceptance General Criteria.  

In addition to the policy outlined in Section 5, the Authorized Official must consider the following criteria in deciding whether a grant application may be submitted or to accept a grant award.  The Authorized Official must consider circumstances from the perspective of a reasonable person with knowledge of the relevant facts.

A.  Application and acceptance of a grant must maintain the integrity of the mission, programs, and operations of the DOI and the USGS.  The following criteria apply: 

(1)  The grant is not, nor appears to be, an attempt to influence the exercising of any authority of the DOI or the USGS; 

(2)  The grant provides a mission benefit to the USGS; 

(3)  The grant does not require the USGS to make a commitment of funding that is unplanned or unavailable; 

(4)  The grant is consistent with, and does not otherwise circumvent, applicable laws, regulations, or policies; 

(5)  The USGS is able to properly utilize the grant within policy, guidelines, and programmatic and management goals; 

(6)  The grant will not be used by the Grant Sponsor to state or imply endorsement by the DOI or the USGS of the Grant Sponsor’s products or services; and 

(7)  The grant, if it includes personnel or funding to hire personnel, is structured such that the grant and any funded personnel do not inappropriately influence any DOI regulatory action or other DOI or USGS significant decisions.  

B.  Application and acceptance of the grant must maintain the impartiality, and the appearance of impartiality, of the DOI and the USGS and its employees.  The following criteria apply: 

(1)  The proposed grant is made in an amount that would not influence or appear to influence any significant pending DOI or USGS decision or action involving the Grant Sponsor’s interests; 

(2)  There is neither an actual nor an implied commitment to take an action favorable to the Grant Sponsor in exchange for the grant; 

(3)  The Grant Sponsor will not obtain, nor appear to obtain, special treatment from the DOI or the USGS;  

(4)  The Grant Sponsor understands that any information generated with funds from a grant will be placed in the public domain; and 

(5)  The grant serves the public and is in the public interest. 

C.  Applications for and acceptance of a grant must maintain public confidence in the DOI and the USGS, programs and employees.  The following criteria apply: 

(1)  Application for and acceptance of a grant is not likely to result in public controversy;

(2)  Reasonable person consideration is given as to whether the Grant Sponsor is involved in litigation, investigation, suspension, disbarment, disqualification under the non-procurement common rule, or other controversy with the USGS;

(3)  Reasonable person consideration is given where the Grant Sponsor is involved in a business relationship with DOI or the USGS (for example, a contract, permit, lease, grant, cooperative agreement); and 

(4)  Reasonable person consideration is given where the grant is expected to involve marketing and (or) advertising. 

D.  Applications for and acceptance of a grant must meet certain standards as provided in the PI’s self-assessment statement for Conflict of Interest in the Form 9-3090, and as follows: 

(1)  The Grant Sponsor, or in the case of USGS receiving a Sub-award, the Prime Awardee, is not listed in the current Financial Guide for USGS Employees as prohibited or limited for investment by employees; 

(2)  A USGS employee who proposes to be a PI or Co-PI on a grant may not have a direct or indirect financial interest in the Grant Sponsor (or the Prime Awardee if USGS is involved in a Sub-award from a Prime Award recipient); 

(3)  A USGS employee who serves either in an official or personal capacity as an officer or board member of a non-Federal organization that offers grant opportunities must recuse themselves from participating in any aspect of the grant application, evaluation, or award process if the USGS is applying for a grant from that organization; and 

(4)  USGS employees who are serving either in an official or personal capacity as an officer or board member of a non-Federal organization may not receive any personal financial benefit from the grant funds should the USGS receive a grant from that organization. 

8.    Responsibilities.

A.  Associate Director for Administration.  The Associate Director for Administration is responsible for oversight of the Bureau’s Grants (Funds-in) program.

B.  Office of Policy and Analysis.  OPA is responsible for managing the day-to-day activities of the Grants (Funds-in) program.  The Grants (Funds-in) Manager, which resides within OPA, is responsible for providing advice and guidance as it directly relates to this SM chapter and ensuring the program requirements within this SM chapter are consistent with laws, regulations, and applicable policy.  OPA provides final approval of the Form 9-3090.  After USGS is awarded a grant, OPA is also responsible for reviewing grant agreement packages through the approved internal agreement review system.  OPA assists with agreement negotiations, consults the DOI SOL, as needed, and approves final agreements in accordance with SM 205.13, Appendix A.

C.  Office of Accounting and Financial Management.  The Funds Management Branch within the Office of Accounting and Financial Management (OAFM) is responsible for reviewing and approving grant financial terms.  All grant agreements are entered in the USGS financial system using required elements as prescribed in the Bureau’s internal FOP. 

D.  Office of Acquisition and Grants.  OAG is responsible for providing guidance whenever USGS plans support performance using a new or existing funds-out obligation to a non-USGS organization, often referred to as a ‘sub-award’.

E.  Office of International Programs.  The Office of International Programs (OIP) is responsible for providing guidance for grants that involve International governments. 

F.  Office of Communications and Publishing.  The Office of Communications and Publishing (OCAP) is responsible for providing guidance to Centers who are interested in making any acknowledgement of grants through press releases, other types of media communication (for example, Internet sites), media events, or other recognition events appropriate to the grant.  Refer to SM 500.5, News Release and Media Relations Policy.

G.  Authorized Officials/Center Managers.  Authorized Officials as specified in SM 205.13, Appendix A, are responsible for confirming proposals are consistent with applicable policy and procedure.  Authorized Officials provide signature approval on the Form 9-3090.  Authorized Officials are also responsible for ensuring their employees adhere to policy, procedure, and other established standards for the application and acceptance of grants as covered by this SM chapter.

H.  Regional Management Officers/Senior Management Officers.  These officers are responsible for assisting Authorized Officials in confirming if a grant opportunity is consistent with USGS policy and assisting the Center’s administrative staff with coordination between various support offices, if requested and applicable.

I.  Administrative Officers.  Administrative Officers (AO), or other delegated administrative staff, are responsible for administrative oversight of the grant application and acceptance process at the Center level.  

J.  Principal Investigators.  PIs and Co-PIs are responsible for complying with policy, procedure, and standards as prescribed by this SM chapter, the Grants (Funds-in) – Application and Acceptance Handbook, and any additional requirements for the grant application and acceptance process at the Center level.  PIs should provide 10 days lead time for grants (funds-in) actions submitted to OPA.

9.    Recognition of Grant Sponsors.  The Center must contact OCAP for guidance prior to making any acknowledgement of grants through press releases, other types of media communication (for example, Internet sites), media events, or other recognition events appropriate to the grant.  Refer to SM 500.5, News Release and Media Relations Policy.

10.    General Procedures.  For procedural guidance, including PI and AO procedural responsibilities, refer to SM-H 500.18, Grants (Funds-In) – Application and Acceptance Handbook.  Financial management procedural guidance is outlined in the FOP, Chapter 4.

11.    Documentation.  

A.  Record-keeping.  The Center will maintain original copies of the signed Form 9-3090, the original grant submission, original award letter, any related review or decision documents from Departmental Offices, as well as correspondence related to the approval of the agreement.  The Center will file these together and in accordance with approved Records Disposition Schedules (refer to SM 431.6).  

B.  Internal Controls.  Internal controls for grants, as established by Office of Management and Budget Circular A-123, include: written delegations of authorities; defined responsibilities for authorized officials; separation of duties between officials authorized to review, approve, and accept grants and officials authorized to account for grants in the Bureau’s financial system; and the use of stipulated accounting and financial elements so that reports of accepted grants can be made available for monitoring and review at any organizational level.