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Introduction You should read your Department of Commerce Financial Assistance Award (CD-450) very carefully and keep it handy throughout the Grant Award Period. It includes information that does not appear here. You may want to bookmark this website so that it is easy to find while your project is being completed. It takes you through preparing reports that have to be submitted during the life of the grant, explains how to request an amendment or extension of your grant if you need one, and then takes you to the process of closing out the grant. Everyone involved with the project in your organization should know that this information is here and how to find it. (If you wish, you can request a printed copy of this material from PTFP.) Please note that failing to provide required information on time and in full not only creates unnecessary problems for your organization, but also puts it out of compliance with the terms and conditions of the grant award. Being out of compliance can result in suspension of payments, termination of the award, establishment of an Account Receivable for any Federal funds paid out to your organization, and denial of grants to your organization in the future. To help you keep track of PTFP deadlines, we suggest that you keep a printed copy of your Construction Schedule handy to refer to as a kind of checklist as the project proceeds. Do not hesitate to contact your PTFP Program Officer whenever you have questions. Here is what is covered in this section: Extension of the Grant Award Period Where to Send Reports and Requests
Documents should be addressed to:
[Program Officer's Name]
NTIA/PTFP
Room 4096
U.S. Department of Commerce
1401 Constitution Avenue, NW
Washington, DC 20230
______________________
[Grants Specialist's Name] National Institute of Standards and Technology The Chief Financial Officer Grants & Agreements Management Division 100 Bureau Drive, Mail Stop 1650 Gaithersburg, MD 20899-1650Correct Names and Addresses
Duplicate Copies and Grant Numbers
The Construction Schedule is the timetable of how you plan to complete your project. All equipment must be installed and operational, and all expenditures approved for the project must be incurred by the end of the Grant Award Period. As you prepare your Construction Schedule, you should anticipate and allow for normal delays that may happen in a project of your kind. As you prepare your Construction Schedule, please keep in mind that your project was funded because of the urgency of need expressed in your application. Completion of the project should reflect the same sense of urgency. Your organization is expected to begin work on the project promptly and to complete it within the Grant Award Period specified in the award document. NTIA has found that the greatest single cause of the inability of grantees to complete their projects within the authorized Grant Award Period is a delay in the start of equipment procurement. If you anticipate a delay of more than a few weeks while equipment is researched for the writing of bid specifications, please discuss the matter with your Program Officer as you prepare your Construction Schedule.
Your Construction Schedule must be sufficiently detailed to allow PTFP to be sure that all necessary steps to complete the project are planned and scheduled and also to allow it to track progress as the project goes forward. If you prepare your Construction Schedule online, PORTS provides a matrix to be filled in. The Construction Schedule should contain projected dates for the following items:
As noted above, you can prepare your Construction Schedule online through PORTS. If you prepare it in hardcopy, please submit it to PTFP in duplicate. As noted in the Introduction, above, we recommend that you keep a printed copy of your Construction Schedule at hand to refer to as a kind of checklist as the projects prodeeds.
CONSTRUCTION SCHEDULE
Your award document may contain Special Award Conditions that require the submission of documents to NTIA/PTFP before Federal funds are released to your organization. Such Special Award Conditions are generally printed at the end of the award document. They usually begin: "No funds from the Federal share of this grant award shall be released until the recipient has submitted to NTIA...". The most common Special Award Conditions relate to liens, insurance coverage, site rights, FCC authorizations, your organization's financial management system, the Internal Revenue Service, and consultants and/or contractors. These are discussed in order below, but other Special Award Conditions may be included in the Grant Award as circumstances require. Please note that the Department of Commerce may impose Special Award Conditions at any time during the grant award period. For each Special Award Condition:
Note that many of the documents required to meet the Special Award Conditions can be submitted electronically as attachments in PORTS, via e-mail, or by fax to PTFP (202-482-2156). NTIA/PTFP retains a priority reversionary interest in all equipment acquired pursuant to the project. The interest extends from the beginning of the Grant Award Period through a ten-year period following the completion of the project. Some grantees are required to file an initial lien for their projects. If one is required, Federal funds cannot be released until the lien has been submitted, approved, filed, and a certified copy returned to NIST/GAMD. When an initial lien is required for a PTFP project, it is usually requested in a Special Award Condition placed in the award document and stated in language similar to the following:
Most grant recipients use a UCC-1 (Uniform
Commercial Code) financing statement. A chattel mortgage may also be used.
UCC-1 forms differ slightly from state to state. They are usually available
from an attorney, a bank's loan department, or an office supply store.
In the section designated for the description
of the items covered by the lien, enter the following: The PTFP Program Officer will review the lien and
forward it to the National Institute of Standards and Technology (NIST),
Grants and Agreements Management Division (GAMD). (Note that the lien form must be sent to
PTFP before filing, even if your state's form does not include a space for the Secured Party
to sign it.) NIST/GAMD will sign the lien document for the "Secured Party" and return it to you.
You must then file it at recorder(s) office(s) in the jurisdiction(s)
where the project equipment will be located and
where your headquarters are located, if different. Original lien forms, with the recording office's
stamp clearly visible, must be returned promptly to: In many jurisdictions, the lien can be revised by
executing an amendment to the original UCC-1. The forms to amend the original
filing have different designations in various jurisdictions. In many states,
the amendment version is called a UCC-2 or a UCC-3. Follow the same procedures to file a revised UCC form
as outlined for the initial lien. All grantees are required to maintain adequate insurance
coverage on the equipment purchased under a PTFP grant so that, in the
event of loss, they will be able to continue the project by promptly replacing
equipment. Some grant awards include a Special Award Condition
for insurance coverage. If yours does, your organization must certify
that all equipment to be purchased with PTFP funds will be insured. When
an insurance certification is required for a PTFP project, the Special
Award Condition is usually stated in language similar to the following: As indicated in the section on liens, the Federal
government has an interest in PTFP-funded equipment for ten years after
the completion of a project. To ensure that inadequate site rights will
not hinder a grantee's ability to provide long-term public telecommunications
services, NTIA requires grantees to have adequate rights to each site
on which such items of major fixed equipment as a broadcast transmitter
or a tower are or will be installed. Some grant recipients are required
by NTIA/PTFP to provide evidence of leases or ownership of such sites. When site rights certification is required for a PTFP
project, it is requested in a Special Award Condition placed in the award
document and stated in language similar to the following: As stated in the Special Award Condition, if the required
attorney's certification letter regarding the site rights is not submitted
to NTIA/PTFP in final form by the deadline stipulated, the grant award
may be terminated. Grantees should work with their local attorneys to
develop acceptable lease or ownership agreements. NTIA expects grantees
to have at least the following for a ten-year period at each site involved: In addition, nothing under local law or enforceable
contract should prevent the Federal government from entering the property
and reclaiming or securing grant-funded property. If your rights are subject to restrictions that might
prevent occupancy for the full ten-year period, your counsel must certify
that the Federal interest in the equipment is fully protected. For example,
a lease may allow the lessor to terminate occupancy in certain events
(non-payment or other default), or its term may be less than the full
ten years (without a renewal clause). In these situations, counsel must
certify that: A SUGGESTED LETTER
OF CERTIFICATION:
NTIA/PTFP Grant No.:__________ I, (attorney name), certify that
I am legal counsel to (grantee name) and that it has major fixed
equipment at the following site(s): I recognize that the Federal Government has an interest
in the project from the award date through a period ten years after project
completion. For [each of]
the above site[s],
I certify that, during the Federal interest period: [Discussion of any possible exceptions]. Signature of legal counsel We
would like to emphasize what is NOT necessary. NTIA does not
require that the recipient's attorney conduct a title search. Nor
does NTIA expect that the attorney will perform research into the
real estate laws and zoning regulations of the communities in which
the project's major fixed equipment is located. In fact, no
special research should be called for to satisfy this Special Award
Condition. NTIA merely expects that the attorney will read carefully
the site document in question and, based upon that reading, determine
whether the document conforms to NTIA's requirements. Attorneys
may, if they choose, state the limitations of their research in
the opinion letter. To meet this condition, send your Program Officer
two copies of the IRS certification. All acquisitions made as part of an NTIA/PTFP
grant must be done through open competitive bidding. As the Office of
Management and Budget puts it, "All procurement transactions shall be
conducted in a manner to provide, to the maximum extent practical, open
and free competition." NTIA strongly urges you to avoid time-consuming
and costly disputes with potential contractors and vendors by familiarizing
yourself with the rules and procedures governing competitive bidding.
Among the many points to consider are the following: Quarterly Performance Reports (sometimes called Quarterly Technical Reports) are due at PTFP within thirty days after the end of each calendar quarter. The Reports let PTFP and NIST/GAMD follow your progress in completing your project.
The dates the Quarterly Performance Reports are due
at PTFP are as follows: The Construction Schedule submitted at the start of the project should serve as the matrix for your Reports whether prepared online through PORTS or on paper. As shown in the sample below, if dates on your Construction or Planning Schedule are not met, you should show a revised date in the column provided with an explanation for the revision in the appropriate place. Reports should show the complete PTFP grant number, be identified as a Quarterly Performance Report, and state the reporting period. Reports are expected to include the following:
As indicated, your Quarterly Performance Report should include a list of the equipment purchased through the current quarter compared with the equipment authorized in the grant. Online, PORTS supplies the list. The left-hand column shows what was authorized. You should use the right-hand column to supply information on the equipment actually purchased as you acquire it. The list should be cumulative through the project so that it shows NTIA/PTFP all that has been acquired through the most recent Quarterly Performance Report. If you prepare your Report offline, you should utilize the actual equipment pages from the award document. (See the example below.) While the equipment list and narrative should reflect
the current status of the project, NTIA is not seeking a complete history
of the project in each quarterly report. Information for the current reporting
period should be highlighted, which can be done simply with an ***.
When you address pending issues from prior quarters, you should condense
the prior information and emphasize the updated material. Items on the
Construction or Planning Schedule that have been fully completed can be
reported simply as "Completed". Using the format shown here will help you, your Program Officer, and your Grants Specialist follow your progress in completing the project.
Note: The March 4th flood took out
a bridge over Yellow Creek leading to the transmitter site. Truck delivery
of the new transmitter will be impossible until the bridge is repaired.
(Our engineers now have to walk the last mile to the transmitter.) We
are in contact with the Highway Department about the situation, and a
local National Guard Combat Construction Unit may be able to arrange delivery
by helicopter for us if necessary to complete the work on schedule. Performance Report Summary: Although there have been slight delays along the way,
the project is now essentially on schedule, and we have every expectation
that it will be completed by the end of the Grant Award Period. The situation
with the road to the transmitter site is serious and could result in a
project delay. There is still time for the road repairs, however, and
talks with the National Guard unit are very positive as to their being
able to help us-in fact, they appear eager to do so and hopeful that the
Highway Department will be unable to repair the road in time! If all this
ends by necessitating an extension of the Grant Award Period, we will
advise PTFP at least 30 days before the expiration date and formally request
an extension. Equipment list is attached. [signature] An example of the equipment list that accompanies
a Quarterly Performance Report follows in the link below. You must submit a Financial Status Report
(SF-269 Long Form) for the six-month periods ending March 31 and September
30, or any portion thereof whether there was any financial activity
or not. The reports are due no later than April 30 and October
31, respectively. A final Financial Status Report must be submitted within
ninety days after the expiration of the Grant Award Period. If your PTFP
Grant Award Period began on October 1, your first Financial Status Report
is for the period ending March 31. You must mark permanently all
equipment included in the project to ensure accurate identification and
accurate reference to inventory records. A non-removable label (or other means of
identification) should be attached to the equipment where it can be seen
easily. The label should contain your organization's inventory number
plus the last five digits of the NTIA/PTFP grant award number. Transmission antennas should be assigned
an inventory number. It should be posted in the transmitter shelter with
an appropriate identification. Your organization has been awarded a PTFP grant to
purchase a specific number of specific items of equipment (or to do specific
planning) at an agreed-upon Total Project Cost. If the project can be
completed for less than the cost estimated in the award document, then
both your organization and the Federal government have saved money. (Funds
returned to PTFP in this way are awarded as grants in subsequent grant
rounds.) After purchasing and installing all equipment on the
approved equipment list (or completing the approved planning activities)
you are NOT
authorized to spend any remaining Federal funds. Similarly, if the approved equipment list includes
two Acme 1400's and they actually cost only half of what was expected,
you are NOT authorized to buy three or four as part of the grant project. Requests for amendments must be submitted in writing
to PTFP. The request should be clearly identified as an Amendment Request
and should not be combined with a Quarterly Performance Report,
an extension request, or any other submission. The request should
state clearly what changes you wish to make and the reasons for them.
All relevant cost figures must be included. NTIA suggests that you first
call your Program Officer and discuss the need for amending the grant
award. Amendment requests will be reviewed by PTFP
prior to issuing written approval or denial. Amendments may be approved
if they are integral to, and within the scope of, the originally approved
project. Requests that would result in the expansion of the scope of the
project as granted usually will not be approved. Requests will
be reviewed to determine whether the amendment is the result of changes
in engineering approach, desire to implement new technology, or is necessary
for the operation of equipment originally approved in the grant. Your written amendment request should contain
a statement along the following lines: The Grant Award Period is the time during
which your organization can obligate Federal funds to complete the approved
project. The Grant Award Period for your grant appears on the first page
of the award document. All Federal funds must be obligated and all equipment
must be installed and operational (or all planning activities completed)
by the end of the Grant Award Period. Extensions may be granted for good cause.
Requests for extensions must be submitted in writing to PTFP. The request
should be clearly labeled as an Extension Request and should not
be combined with a Quarterly Performance Report, an amendment request,
or any other submission. An extension request should reach PTFP
at least three weeks before the end of the Grant Award Period. This will
allow your request to be given full consideration before the Grant Award
Period expires. Before submitting your request, NTIA suggests that you
call your Program Officer and discuss the need for extending the Grant
Award Period. Your request should be supported by a full
explanation of what has happened to make an extension necessary. Generally
PTFP looks for causes beyond the grantee's control, such as failure of
a vendor to meet delivery dates, and it may request supporting documentation
(copies of correspondence, etc.) to accompany the request. It does not
look favorably on simple inactivity on the part of the grantee. If you do not receive written
approval, the request for an extension has not been approved. Extensions of the Award Period will usually be for
a minimum of three months and a maximum of one year.
Please note that if your organization
has an outstanding bill from any part of the Department of Commerce
that is more than thirty days old, the National Institute of Standards and Technology (NIST), Grants and Agreements Management Division (GAMD) will not process an extension request until the debt
has been satisfied. Non-profit organizations, government agencies,
Indian tribes, and educational institutions expending more than $500,000
in Federal funds from all sources during a one-year period are required
to have an audit conducted in accordance with Federal guidelines as stated
in OMB Circular A-133, dated June 30, 1997 (if you do not have a copy, you can get one by going to http://www.whitehouse.gov/omb and clicking on Circulars). These audits are performed in one of two ways. An
NTIA/PTFP-specific audit may be performed if the organization receives
Federal funds solely from NTIA. If the organization receives funds from
more than one Federal source during the year that the audit is conducted,
an organization-wide audit must be performed. (Note that CPB funding is
not considered a Federal source.) In brief, OMB Circular A-133 requires that
all such recipients obtain regular audits, preferably annually, but at
least once every two years. Copies of the audits must be provided to each
Federal agency that provides funds to your organization. The copy of the
audit reports to be provided to the Department of Commerce should be sent
to the following address: No matter which Federal agency
is officially to receive the audit, all PTFP grant recipients should
send a copy of the audit transmittal letter to their NIST/GAMD Grants
Specialist. Audits performed in response to Corporation
for Public Broadcasting (CPB) qualification requirements will not necessarily
conform to the Federal government auditing standards required by Circular
A-133. The CPB requires a "standard" financial statement audit. While
such an audit will certainly serve as the basis for the A-133 audit, further
tests of the accounting records will have to be completed in order to
bring the audit into compliance with A-133. We urge you to review the
A-133 requirements with your accountant as early as possible. You are required to provide PTFP with full close-out
documentation for your project within ninety days following
project completion or the expiration of your Grant Award Period, whichever
comes first. As the closing date of your award approaches, you will receive
a reminder email from NTIA/PTFP. It will direct you to the Close-Out
Requirements section of this website, which contains complete instructions
to assist you in preparing your close-out. If you complete your project
early, you should proceed to that website without waiting for the reminder
because the 90-day close-out period starts when construction of your project
is completed and the equipment is operational. It is essential that you maintain careful records
throughout the award period and that you respond promptly to the close-out
instructions so that you do not encounter unnecessary delays in preparing
your close-out materials. Click here for complete Close-Out instructions and guidance.
Your responsibilities to the Federal government
through the Department of Commerce do not end when the National Institute of Standards and Technology (NIST), Grants and Agreements Management Division (GAMD) informs you that your close-out has been accepted. As you
know, the Federal government retains an interest in the equipment acquired as part
of the project for ten years after the close-out is completed. This section
summarizes some of the requirements; a full account of them appears in the
close-out part of this website. Grantees must mark project apparatus in a permanent
manner in order to assure easy and accurate identification and reference to
inventory records. The marking shall include the PTFP grant number and a
unique inventory number assigned by the grantee. Annual Status Reports are due
on or before April 1 in each of the ten years of a grant's Federal interest
period. An organization must submit a separate Annual Status
Report--with an original signature--for each grant it has in the 10-year
Federal interest period. Click here for more information about Annual Reports. Recipients of Planning Grants are exempted
only from those requirements that relate narrowly to the acquisition
of equipment. Planning grantees, for example, do not have to submit
insurance and site rights certifications, liens, or FCC authorizations.
Nevertheless, Planning Grant recipients must meet many other requirements,
some of which are the same as those imposed on recipients of Construction
Grants. Your grant application identified your project's
major objectives and procedures and provided a preliminary project timetable.
NTIA suggests that you reiterate and keep in mind the specific objectives
for your project as you revise and outline the planning process, timetable
to accomplish your project within the award period, step-by-step procedures,
and activities expected to be completed. You should contact your Program
Officer if you have questions regarding the Planning Schedule. We have estimated
that each response to this collection of information will take on
average 14 hours for construction grant recipients to prepare the
construction schedule and the quarterly performance reports and
54 hours for planning grant recipients to prepare the planning timetable,
the quarterly performance reports, and the draft final report. Our
estimates include the time to read the instructions, look through
existing records, gather and maintain required data, and actually
complete and review the response. If you have any comments on this
estimate or on how we can improve the collection and reduce the
burden it causes you, please write to the Office of Policy Coordination
and Management, NTIA, Room 4892, Department of Commerce, Washington,
DC 20230. Your comments will also be accepted via the Internet if
you send them to ptfp@ntia.doc.gov.
You are not required to respond to a collection of information sponsored
by the Federal government, and the government may not conduct or
sponsor this collection, unless it displays a currently valid OMB
control number or if we fail to provide you with this notice. |
