M_440_512_ - Part 512 - Conservation Program Contracting

Subpart J - Exhibits

 512.90  Summary of Forms Used

Form Number and Title

Internet Location of the Form

AD-1026, “Highly Erodible Land Conservation and Wetland Conservation Certification”

http://forms.sc.egov.usda.gov

Click Browse Forms and enter form number

Form submitted to FSA for processing.

CCC-901, “Member’s Information”

http://forms.sc.egov.usda.gov

Click Browse Forms and enter form number

Form submitted to FSA for processing.

CCC-526C, “Payment Eligibility Average Adjusted Gross Income Certification for Certain Conservation Program,”

CCC-931, “Average Adjusted Gross Income Certification and Consent to Disclosure of Tax

Information”

http://forms.sc.egov.usda.gov

Click Browse Forms and enter form number

Form submitted to FSA for processing.

FSA-211, “Power of Attorney” (revision 2009)

http://forms.sc.egov.usda.gov

Click Browse Forms and enter form number

NRCS-CPA-013, “Contract Review”

https://formsadmin.sc.egov.usda.gov/eformsadmin/adminmainservlet

Enter eAuthentication Login to access form

Click Find Forms and enter form number

NRCS-CPA-152, “Conservation Program Contract Transfer Agreement”

https://formsadmin.sc.egov.usda.gov/eformsadmin/adminmainservlet

Enter eAuthentication Login to access form

Click Find Forms and enter form number

NRCS-CPA-153, “Agreement Covering Non-Compliance with Provisions of Contract”

https://formsadmin.sc.egov.usda.gov/eformsadmin/adminmainservlet

Enter eAuthentication Login to access form

Click Find Forms and enter form number

NRCS-CPA-1155, “Conservation Plan or Schedule of Operations”

Available through ProTracts at the program level.

http://prohome.nrcs.usda.gov/

Enter eAuthentication Login to access ProTracts

NRCS-CPA-1156, “Revision of Plan/Schedule of Operations or Modification of a Contract”

Available through ProTracts at the program level.

http://prohome.nrcs.usda.gov

Enter eAuthentication Login to access ProTracts

NRCS-CPA-1200, “Conservation Program Application”

Available through ProTracts at the program level.

http://prohome.nrcs.usda.gov

Enter eAuthentication Login to access ProTracts

NRCS-CPA-1202, “Conservation Program Contract”

Available through ProTracts at the program level.

http://prohome.nrcs.usda.gov

Enter eAuthentication Login to access ProTracts

NRCS-CPA-1202, “Conservation Program Contract”

Available through ProTracts at the program level.

http://prohome.nrcs.usda.gov

Enter eAuthentication Login to access ProTracts

NRCS-CPA-1236, “Assignment of Payment”

http://forms.sc.egov.usda.gov

Click Browse Forms and enter form number

Also available through ProTracts at the program level.

http://prohome.nrcs.usda.gov

Enter eAuthentication Login to access ProTracts

NRCS-CPA-1245, “Practice Approval and Payment Application”

Available through ProTracts at the program level.

http://prohome.nrcs.usda.gov

Enter eAuthentication Login to access ProTracts

NRCS-FNM-060, “Electronic Funds Transfer Hardship Waiver Request”

https://formsadmin.sc.egov.usda.gov/eformsadmin/adminmainservlet

Enter eAuthentication Login to access form

Click Find Forms and enter form number

SF-1199A, “Direct Deposit Sign-Up Form”

http://forms.sc.egov.usda.gov

Click Browse Forms and enter form number

512.91  Program Eligibility Certification Request Letter Template

Click here for a copy of the Program Eligibility Certification Request Letter Template 

512.92  Application Deferral Letter Template

 Click here for a copy of the Application Deferral Letter Template    

512.93  Ineligibility Determination for Conservation Program Contract Letter Template

Click here for a copy of the Ineligibility Determination for Conservation Program Contract Letter Template     

512.94  Pre-approval for a Conservation Program Contract Letter Template

Click here for a copy of the Pre-approval for a Consercation Program Contract Letter Template         

512.95  Waiver to Begin a Conservation Practice Letter Template

Click here for a copy of the Waiver to Begin a Conservation Practice Letter Template        

512.96  Annual Practice Reminder Letter Template

Click here for a copy of the Annual Practice Reminder Letter Template          

512.97  Ineligible Members Pre-approval Letter Template

Click here for a copy of the Ineligible Members Pre-approved Letter Template         


      
512.98  Debt Collection Letter Template

Click here for a copy of the Debt Collection Letter Template
        

512.99  Control of Land Administrative Review Letter Template

Click here for a copy of the Control of Land Administrative Review Letter Template       

512.100  Limited Resources Farmer/Rancher Administrative Review Letter Template

Click here for a copy of the Limited Resources Farmer/Rancher Administrative Review Letter Template      

512.101  Beginning Farmer/Rancher Administrative Review Letter Template

Click here for a copy of the Beginning Farmer/Rancher Administrative Review Letter Template         

512.102  Termination with Cost Recovery Letter Template

Click here for a copy of the Termination with Cost Recovery Letter Template     

512.103  Cancellation without Cost Recovery Letter Template

Click here for a copy of the Cancellation without Cost Recovery Letter Template      

512.104  Cancellation with Cost Recovery Letter Template

Cancellation with Cost Recovery Letter Template      

512.105  Pre-approval for a Conservation Program Contract Letter Template with Dun and Bradstreet (D&B) Universal Numbering Systems (DUNS) Number and Central Contractor Registry (CCR) Requirements for Non Individuals

Click here for a copy of the Pre-approval for a Conservation Program Contract Letter Template     

512.106  Summary of General Program Eligibility

Specific eligibility for each program is described in the applicable part of Title 440, Conservation Programs Manual (CPM), Parts 515 to 523.

A.  AMA Web link to land eligibility criteria:

http://directives.sc.egov.usda.gov/scripts/lpsiis.dll/M/M_440_521_E.rtf

B.  AMA Web link to person eligibility criteria:

http://directives.sc.egov.usda.gov/scripts/lpsiis.dll/M/M_440_521_E.rtf

C.  CSP Web link to land and person eligibility criteria:

      http://directives.sc.egov.usda.gov/viewerFS.aspx?hid=30884

D.  EQIP Web link to person eligibility criteria:

http://directives.sc.egov.usda.gov/scripts/lpsiis.dll/M/M_440_515_F.rtf

E.  EQIP Web link to land eligibility criteria:

http://directives.sc.egov.usda.gov/viewerFS.aspx?hid=25509

F.  WHIP Web link to land eligibility criteria:

http://directives.sc.egov.usda.gov/scripts/lpsiis.dll/M/M_440_517_C.rtf

G.  WHIP Web link to person eligibility criteria:

http://directives.sc.egov.usda.gov/viewerFS.aspx?hid=25590

      512.107  Checklist for Six-Part Folder

For use if States choose to use six-part folder to assemble the contract file contents listed in 440-CPM, Subpart E, Section 512.43, “Components and Assembly of Contract File.”

Contract Folder Assembly

1st Cover

2nd Cover

3rd Cover

Form NRCS-CPA-1200, “Conservation Program Application”

Form NRCS-CPA-1202, “Conservation Program Contract”

CPC appendix

Application evaluation and ranking worksheet

Signature authority for business

Form FSA-211(revision 2009), “Power of Attorney”

Joint agreements

Form NRCS-CPA-153, Agreement Covering Non-Compliance with Provisions of Contract

Form NRCS-CPA-152, “Conservation Program Contract Transfer Agreement”

Self-assessment workbook (CSP 2002)

Form NRCS-CPA-13, “Contract Review”

Appeals and mediation records

Conservation assistance notes

General correspondence

Conservation plan map and legend

Soil map and legend

Location map

4th Cover

5th Cover

6th Cover

Form NRCS-CPA-1155, “Conservation Plan or Schedule of Operations”

Form NRCS-CPA-1156, “Revision of Plan/Schedule of Operations or Modification of a Contract”

Conservation Plan

Practice design and drawings

Job sheets

Practice specifications

Worksheets

Environmental evaluation or assessment

Archaeological information

NEPA documentation

Operation and maintenance agreements

Form NRCS-CPA-1245, “Practice Approval and Payment Application”

Invoices and receipts for Actual Not-to-Exceed Average (AA) and Actual Not-to-exceed Maximum (AM) contract items

Checkout and certification notes attached to applicable payment

Practice implementation data supplied by technical service providers

512.108  Conservation Program Contract – Other Special Provisions

Click here for a copy of the Conservation Program Contract - Other Special Provisions    

512.109  Conservation Program Contract – Special Provisions for Equal Opportunity

Conservation Program Contract - Special Provisions for Equal Opportunity      

512.110  Example of Servicing Multistate Applications and Contracts

 Click here for a copy of an Example of Servicing Multistate Applications and Contracts            

512.111  Indicators of Erroneous Payments

The following subsections list erroneous payment indicators related to CPC.  An indicator is an event or condition that either demonstrates that an erroneous payment has been made or suggests that erroneous payments are likely to occur.  These indicators are grouped into four categories:  internal controls, documentation, potential fraud, and programmatic.  Although these lists are not all-inclusive, they help NRCS employees at all organizational levels understand the causes of erroneous payments and actions that can be taken reduce the risk of making erroneous payments.

(1)  Internal Controls

(i)  Cannot reconcile participant receipts with disbursements

(ii)  Duplicate payments

(iii)  Excessive processing time for payments

(iv)  Inadequate authorization and review of payment requests

(v)  Inadequate control over vendor payment addresses

(vi)  Inadequate control over user identification or password access to automated systems

(vii)  Inadequate control over receivables

(viii)  Inadequate control over allocations

(ix)  Inadequate monitoring and oversight

(x)  Insufficient separation of duties between employees receiving services and authorizing payment

(xi)  Large number of contract modifications

(xii)  Large percent increase of contract obligation through modification

(xiii)  Negative transactions

(xiv)  No edit checks for disbursements

(xv)  Payments made without contract obligation

(xvi)  Inadequate accounting records

(xvii)  Inadequate management control

(xviii)  Inadequate physical controls on computer equipment

(xix)  System deficiencies

(xx)  Unqualified staff assigned to provide technical assistance for contract implementation

(xxi)  Unqualified staff assigned permissions or access to ProTracts, Fund Manager, and the Foundation Financial Information System

(2)  Documentation

(i)  Clerical errors

(ii)  Coding errors

(iii)  Conflict between date and amount paid compared to invoice date and amount

(iv)  Documentation errors

(v)  Duplicate invoices

(vi)  Improper partial payments

(vii)  Incorrect interest rates

(viii)  Incorrect refunds or liquidated damages

(ix)  Incorrect tax identification numbers

(x)  Incorrect vendor codes

(xi)  Missing or inadequate supporting documentation

(xii)  Photocopied original records

(xiii)  Unsupported claims

(3)  Potential Fraud

(i)  Bribes

(ii)  Close social relationship with contractors or participants

(iii)  Difficulty contacting participants or contractors

(iv)  Disparities between data sources

(v)  Duplicate vendor names, numbers, and addresses

(vi)  False claims

(vii)  False Social Security numbers

(viii)  Fictitious identity

(ix)  Higher, false, or unallowable billing costs

(x)  Illegal political contributions

(xi)  Kickbacks

(xii)  Large payments made to employees

(xiii)  Program applicants with criminal history

(xiv)  Number of returned checks compared to checks issued

(xv)  Offers of gifts, money, or other gratuities to Government officials

(xvi)  Payments made after death

(xvii)  Payments made on terminated, canceled, or expired contracts

(xviii)  Payments returned by the Treasury

(xix)  Related party transactions

(xx)  Retroactive contractual authorizations

(xxi)  Similar invoices from different vendors (company has different names)

(xxii)  Slow payment or nonpayment to suppliers

(xxiii)  Undeclared or understated income

(xxiv)  Undue pressure from senior NRCS officials to process a payment request

(4)  Programmatic

(i)  Failure of applicant to estimate income correctly

(ii)  Failure of participant to report status changes

(iii)  Complex program procedures

(iv)  Ineligible recipients

(v)  Unrelated or unnecessary services provided

(vi)  Numerous complaints from NRCS employees, program participants, and others

(vii)  Supplemental payments to participants from other private or public sources

(viii)  Required services not performed by vendors

(ix)  Unusual activity, patterns, or trends

(x)  High volume of transactions.

512.112  Program Eligibility Matrices for Individuals, Entities, and Joint Operations

A.  Click here for the AMA Matrix    

B.  Click here for the CSP 2002 Matrix   

C.  Click here for the CSP 2008 Matrix     

D.  Click here for the EQIP Matrix    

E.  Click here for the WHIP Matrix      

512.113  Guidance for Transferring Contracted Land in ProTracts

A.  Land transfers are explained in 440-CPM, Subpart F, Section 512.54, “Transfer of Land.”  An integrated land transfer module has not yet been developed for ProTracts and the related Customer Service Toolkit data.  The following are the software steps to be taken in ProTracts.

B.  Contracts assumed in their entirety in accordance with 440-CPM, Subpart F, Section 512.54D, “Modifications That Require Signatures,” may have the transferee added through a modification using the following steps:

(1)  To initiate a modification, select “Land Transfer” as the primary reason, and view “Participant Information.”

(2)  Select “Add Participant” and mark the participant as both a transferee and as the decision maker with appropriate shares, adding all the new transferees to the contract.  Reduce the previous owner shares to zero.

(3)  The transferee must meet all the eligibility criteria for the modification to be approved.

(4)  Submit the modification for approval and obtain the participants’ signatures (transferee and transferor) on Form NRCS-CPA-152, “Conservation Program Contract Transfer Agreement” and Form NRCS-CPA-1156, “Revision of Plan/Schedule of Operations or Modification of a Contract” (transferee only).

(5)  Provide and obtain transferee signature on original hardcopy contract appendix.

(6)  Modification change must be approved in the Fund Manager “Accept/Reject Obligation” financial review.

(7)  Modification may now be approved and the NRCS approving official electronic signature is affixed.

(8)  The obligating vendor record cannot be deleted; the previous owner of the contract remains as a participant on the contract with zero shares.

C.  For partial land transfers, see 440-CPM, Subpart F, Section 512.54F, “Partial Contract Assumption.”  (Partial contract transfers are not available for the Conservation Security Program 2002 program; see the appropriate program manual for program-specific policy.)  Take the following steps in ProTracts:

(1)  To initiate a land transfer modification and, delete the transferred items from the existing contract, stating clearly in the “Basis for Modification” text box the explanation of the land transfer circumstances.

(2)  Within 1 to 2 days, the funds from the deleted items will be returned to the cost overrun fund for that budget year for use in funding the application and contract for the transferred contract obligations.

(3)  The steps listed below to enter a new contract for the transferred portion and obligate the contract funds will involve staff with the appropriate ProTracts role-based permission:

(i)  Complete applicant information and select transferee.  If the land is being transferred to separate and distinct transferees for separate contracts, separate applications must be entered.

(ii)  Complete all application information as is conventional for any application.  The applicant selected as decision maker will sign the transfer agreement.

(iii)  Set application status to “Approved” when transferee is determined eligible for the contract transfer.  This step is essential to able to select the transferees on Form NRCS-CPA-152, “Conservation Program Contract Transfer Agreement,” of the transferor contract.

(iv)  Obtain transferee decision maker signatures on the Form NRCS-CPA-152, “Conservation Program Contract Transfer Agreement,” generated from the transferor contract modification and obtain signatures on original copy of the applicable appendix.  If there are multiple contracts resulting from the transfer, each transferee signs a separate Form NRCS-CPA-152, “Conservation Program Contract Transfer Agreement,” with the transferor for the land they now administer.

(v)  Complete the “Applicant Signed” information, using the date from Form NRCS-CPA-152, “Conservation Program Contract Transfer Agreement,” since no Form NRCS-CPA-1202, “Conservation Program Contract,” is generated for a land transfer.

(vi)  Complete Obligation Review in Fund Manager “Accept/Reject Obligation.”

(vii)  Sign the contract.

(4)  If transferor retains any portion of the contract, follow normal business process to complete Form NRCS-CPA-1156, “Revision of Plan/Schedule of Operations or Modification of a Contract,” and obtain their signatures.

(5)  The following data is needed to complete the application and obligation:

(i)  Current Standard Form (SF) 1199A, “Direct Deposit Sign-Up,” with bank routing information to set up vendor code

(ii)  All application information, including land units, resource concerns, etc.

(iii)  Toolkit planning for transferee contract assumption items

(iv)  Practices and components to be contracted, with practice extents, and scheduled years

(v)  Original practice costs and payment rates to enter into migration cost list fields if transferred contract is from Environmental Quality Incentives Program (EQIP) fiscal years (FYs) 1996 to 2003 (using EQIP Conversion Cost List) or correct cost list to link

(6)  ProTracts application data entry steps unique to partial contract assumptions:

(i)  Application date will allow entry of the original application date.  Contract end date needs to be the same as the existing contract, including any approved modifications to extend the completion date.

(ii)  Select the appropriate FY in which the contract was originally obligated.

512.114  Checklist for NRCS Customer Eligibility

Click here for a copy of the Checklist for NRCS Customer Eligibility    

512.115  Request for Regional Conservationist Approval of CPC

Click here for a copy of the Request for Regional Conservationist Approval of CPC     

512.116  Adjusted Gross Income (AGI) Limitation Waiver Request Worksheet

Click here for a cxopy of the Adjusted Gross Income (AGI) Limitation Waiver Request Worksheet      

            512.117  Assignment of Payments to Farm Service Agency (FSA)

Click here for a copy of the Assignment of Payments to FSA Instructions 

     512.118  Protracts Financial Management Moderatization Initiative (FMMI) Payment Review
     Checklist
  

Click here for a copy of the Protacts Financial Management Moderatization Initiative (FMMI) Payment Review Checklist

 

[M_440_512__J_ - Amend. 91 - March 2012]