SWG (State Wildlife Grants) Implementation Guidance

President Bush signed the Department of the Interior and Related Agencies Appropriations Act, 2002, into law on November 5, 2001. This bill included funds for wildlife conservation grants to States and to the District of Columbia, Puerto Rico, Guam, the United States Virgin Islands, the Northern Mariana Islands, and American Samoa. Annual legislation as part of the Interior and Related Agencies Appropriations Acts of 2003, 2004, and 2005 also included funds for the State Wildlife Grants Program. The U.S. Fish and Wildlife Service (USFWS) apportions the funds based on a formula that uses each state or territory's area and population. The State Wildlife Grant funds appropriated by Congress each year are available for obligation by the State for two years after which the Service will reapportion any remaining unobligated funds, with any new funds appropriated the following federal fiscal year. New York is the fourth largest recipient of State Wildlife Grants Funds behind Alaska, California, and Texas.

To establish eligibility for these funds, the State, Territory, or other jurisdiction must first submit or commit to develop by October 1, 2005, a Comprehensive Wildlife Conservation Strategy for acceptance by USFWS. Once a State is determined to be eligible for funding, it may submit Applications for Federal Assistance, Grant Agreements and associated documents to the appropriate USFWS Federal Aid Regional Office for review and approval. In New York, DEC is the eligible recipient of State Wildlife Grant funds. DEC committed to submit a CWCS to the USFWS by October 1, 2005. The commitment was made in the form of a letter dated October 8, 2002 and signed by the Director of DEC's Division of Fish, Wildlife and Marine Resources.

As with other Federal Aid grant programs, the States must comply with 43 CFR Part 12, OMB Circulars (A-87, A-102, and A-133), the National Environmental Policy Act, Section 7 of the Endangered Species Act and other applicable federal laws and regulations in the use of these funds. A list of projects funded with 2002 and 2003 State Wildlife Grants funds is available on this website.

A series of questions and answers (Q&A's) regarding the State Wildlife Grants program was prepared by USFWS in 2002 to assist states with implementation of the new program. We have included that series of questions and answers below. Beginning with Federal Fiscal Year 2005 funds, NYSDEC will use the recommendations in the CWCS to select projects for submission to the USFWS as part of the State Wildlife Grants program in New York.

Questions and Answers

The following abbreviations are used in the information provided below:

SWG = State Wildlife Grants
WCRP = Wildlife Conservation and Restoration Program
WR = Federal Aid in Wildlife Restoration Act
SFR = Federal Aid in Sport Fish Restoration Act
FA = Federal Aid
RO = Federal Aid Regional Office
State = The agency responsible for managing wildlife in the States, District of Columbia, and Territories

State Wildlife Grants Program Eligibility

Q1. Is a State required to submit a Comprehensive Wildlife Conservation Plan before applying for SWG grants?

A. No. To be eligible for SWG funds, a State must first submit a Comprehensive Wildlife Conservation Plan, or submit a commitment to develop such a plan by October 1, 2005.

Q2. Where should a State send a Comprehensive Wildlife Conservation Plan or commitment to develop one?

A. The State should send its plan or letter of commitment to the Director, U.S. Fish and Wildlife Service, Division of Federal Aid, 4401 North Fairfax Drive, Suite 140, Arlington, VA 22203. When FA receives the plan or letter of commitment, States will be eligible to submit grant proposals. The Director will send a letter acknowledging this eligibility to States and Regional Offices.

Q3. Can a State satisfy the requirements for its Comprehensive Wildlife Conservation Plan required by the SWG Program and its Wildlife Conservation Strategy required by the WCRP with one document?

A. Yes. Both the Strategy required by WCRP legislation in FY01 and the Plan required by SWG legislation in FY02 and subsequent years must be statewide and focus on wildlife species of greatest conservation need. The same document can be considered to meet both the WCRP Wildlife Conservation Strategy and the SWG Comprehensive Wildlife Conservation Plan requirements.

Q4. Must a state wildlife agency have full authority for all wildlife to be eligible for SWG funding?

A. No. A State fish and wildlife agency will be eligible to receive SWG funds for activities compatible with its authority under State law. Other entities that have authority for some wildlife species may be subgrantees of the State wildlife agency.

Q5. What role does the FWS envision for Indian tribes in the SWG Program?

A. The FY 2002 State Wildlife Grants legislation includes a separate $5 million for a competitive grant program specifically for Indian Tribes. Indian tribes may also, however, participate in SWG through a State as subgrantees. For Tribal Wildlife Grant information contact Patrick Durham, Office of Native American Liaison, U.S. Fish and Wildlife Service, 1849 C Street NW, Mail Stop 3251, Washington, DC 20240, or contact Native American Liaisons in the Regional Offices.

The Statewide Comprehensive Wildlife Conservation Plan

Q6. What must be contained within the Comprehensive Wildlife Conservation Plans, and is there a universal format to ease interstate collaboration and utility?

A. The Comprehensive Wildlife Conservation Plans (and Wildlife Conservation Strategy) must include the following items:

(i) information on the distribution and abundance of species of wildlife (defined in Q9), including low and declining populations as the State fish and wildlife agency deems appropriate, that are indicative of the diversity and health of the State's wildlife;

(ii) descriptions of locations and relative condition of key habitats and community types essential to conservation of species identified in (i);

(iii) descriptions of problems which may adversely affect species identified in (i) or their habitats, and priority research and survey efforts needed to identify factors which may assist in restoration and improved conservation of these species and habitats;

(iv) descriptions of conservation actions proposed to conserve the identified species and habitats and priorities for implementing such actions;

(v) proposed plans for monitoring species identified in (i) and their habitats, for monitoring the effectiveness of the conservation actions proposed in (iv), and for adapting these conservation actions to respond appropriately to new information or changing conditions;

(vi) descriptions of procedures to review the State Comprehensive Wildlife Conservation Plan at intervals not to exceed ten years; and

(vii) plans for coordinating the development, implementation, review, and revision of the State comprehensive wildlife conservation plan with Federal, State, and local agencies and Indian tribes that manage significant land and water areas within the State or administer programs that significantly affect the conservation of identified species and habitats.

No universal format for these plans exists at this time. FA will work with the States and other stakeholders, however, to develop suggested guidance regarding the format of plans.

Q7. Must the State produce a State Comprehensive Wildlife Conservation Plan if Congress approves no additional funding in subsequent years for this program?

A. Yes. Each State must submit a plan by October 1, 2005 as Congress has mandated. If a State does not produce a State Comprehensive Wildlife Conservation Plan, FA may require it to repay the funds it has used under this Program.

Q8. Could some or all of a State's previous planning efforts and outcomes qualify as its SWG Comprehensive Wildlife Conservation Plan?

A. Yes. They can, as long as the State plan satisfies the requirements specified in the answer to Q5.

Definitions

Q9. How is "wildlife" defined for the purposes of this program?

A. The term wildlife means "any species of wild, free-ranging fauna including fish, and also fauna in captive breeding programs the object of which is to reintroduce individuals of a depleted indigenous species in a previously occupied range".

Q10. What is the meaning of "species of greatest conservation need?"

A. Each State will determine these species in the context of developing its Comprehensive Wildlife Conservation Plan. These species must be fauna, and not flora, and may include aquatic species and invertebrates. A State's list of "species of the greatest conservation need" may include currently listed Federal and State wildlife species and other species of concern. We anticipate that the composition of this list will change over time as the status and conservation need of species changes within the State.

Eligible Activities

Q11. Did the legislative language in SWG (FY02) result in changes in any existing Federal Aid program, as happened when the WCRP amended the Federal Aid in Wildlife Restoration Act in FY01?

A. No

Q12. What activities are eligible for funding under SWG?

A. States must use SWG allocations to fund the development and implementation of programs that benefit wildlife and their habitat, including species that are not hunted or fished. All activities that meet these criteria are eligible for funding. Consistent with the law, priority for use of these funds should be placed on those species with the greatest conservation need and taking into consideration the relative level of funding available for the conservation of those species.

Q13a (revised). Can a State use SWG to fund projects associated with wildlife education or wildlife law enforcement activities?

A. No, unless the law enforcement or education component is a minor or incidental activity which is considered critical to the success of a project which directly contributes to the conservation of wildlife species and their habitats with the greatest conservation need and is consistent with the development or implementation of the State's comprehensive wildlife conservation plan. The Service would entertain the State making a specific case for use of these funds in this regard on its grant proposal.

For example, a State might propose some special wildlife education or wildlife law enforcement effort is needed to protect critical wildlife habitat where unauthorized all-terrain vehicle (ATV) use was endangering a natural community associated with a hiking or wildlife interpretive trail. Some law enforcement attention or educational initiative such as development of brochures and signage might be necessary to discourage ATV's in the area, and thus achieve wildlife habitat project goals. These types of specific activities will all need to be approved by Service grant specialists prior to funding and implementation. The grant specialists will need to understand and concur that these activities are essential to meeting the wildlife habitat objectives of the grants.

Q13b (revised). Can a State use SWG to fund projects associated with wildlife-associated recreation.

A. No.

Q14. Can a State use SWG funds to pay for costs associated with publication and distribution of hunting or fishing regulations?

A. No.

Q15. Can a State use SWG funds to address issues of "nuisance wildlife" and wildlife damage?

A. Yes. However, these activities are eligible under SWG only if their emphasis is the conservation of wildlife and their habitats. The primary focus of such efforts should be to help when necessary with the conservation of species with the greatest conservation need.

Q16. Can a State use SWG funds to cover costs of environmental review, habitat evaluation, permit review (e.g., Section 404), and similar functions necessary to protect wildlife habitats?

Q17. Can existing State WR/SFR focused employees administer all SWG program areas/activities, or just those that would be eligible under WR/SFR?

A. Yes, they can administer all of them. Approved staff and other administrative costs are eligible when appropriate and States allocate proportionate charges to each program. (OMB Circular A-87, Attachment E)

Q18. Can a State receive reimbursement for costs incurred to develop its SWG Comprehensive Wildlife Conservation Plan?

A. Yes. After FA has approved an SWG planning grant that specifies this activity, the State can receive reimbursement for subsequent work on the Plan.

Fiscal Information

Q19. What is the federal share for SWG grants?

A. For the States, the District of Columbia and the Commonwealth of Puerto Rico, the federal share of planning grants shall not exceed 75 percent of the total cost, and the federal share of implementation grants shall not exceed 50 percent of the total cost. The Insular Areas of the U.S. Virgin Islands, Guam, American Samoa, and the Northern Mariana Islands are waived from matching requirements for this program (based on 48 U.S.C.A. §1469a. (d)).

Q20. What activities may a State include in SWG planning grants?

A. For purposes of this program, "planning activities" are activities that contribute directly and specifically to development or modification (updating or revision) of a specific plan that a State identifies in the grant proposal. Such activities may include, but are not limited to: literature reviews; responsive management type surveys; scientific research to identify, document, or understand biological, social, or economic problems or issues; field and other types of surveys to establish baseline information; database development and use; population habitat viability and population viability analyses; stakeholder processes, including public input efforts, participation workshops, and public or internal workgroup meetings; plan writing, publication and distribution; plan adoption and approval processes; and studies conducted to measure, monitor, evaluate, or modify existing plans or parts of plans. In general, if a State intends to use an activity to develop or modify a plan, FA will consider it a planning activity.

Q21. What activities may a State include in SWG implementation grants?

For purposes of this program, "implementation activities" are activities that a State intends to carry out to execute a specific plan or plans identified in an implementation grant proposal. Such activities may include, but are not limited to: ongoing, continuing, or new "on-the-ground" management actions; laboratory and field research; natural history studies; habitat mapping; field surveys and population monitoring; standard field, museum or public surveys; land acquisition; facility design and construction; technical guidance; education; and most public outreach efforts. Issue analyses, evaluations, progress monitoring, and some outreach activities (including education and information) may also be considered implementation activities, on a case-by-case basis. In general, if a State intends to conduct an activity to carry out a plan, it will be considered an implementation activity.

Q22. What funds may a State use as nonfederal match for SWG? Are in-kind contributions eligible, or must the match be in "cash?"

A. As with FA programs, nonfederal contributions can consist of cash and allowable in-kind contributions as defined in 43 CFR Part 12.64.

Q23. What are the SWG FY02 apportionments for each State, and how long is this money available to the States for obligation?

A. The SWG FY02 apportionment figures are attached (Appendix B). The census figures for State populations are as of April 1, 2000, as approved by the Secretary of Commerce. This apportionment is available for obligation via Grant Agreements through September 30, 2003.

Q24. Should a State view the SWG Program as a continuous ongoing revenue source?

A. No. No authorization for appropriation of funds beyond federal FY 2002 exists at this time.

Q25. What happens to SWG monies for States that do not obligate all of their FY 2002 apportionments by September 30, 2003?

A. FA will reapportion in FY 2004 any FY 2002 funds that remain unobligated as of September 30, 2003. FA will do this in the same manner and proportions as described with the initial apportionments.

Q26. How long will reapportioned funds be available?

A. Reapportioned funds will be available for obligation for two fiscal years.

Q27. How will the federal share of SWG project costs be paid to the States?

A. The office or official designated by the authorized State fish and wildlife agency should request reimbursement for costs incurred in accomplishing approved projects. FA will make payment to this same office or official. (43 CFR Part 12.61)

Q28. Will interest accrue to SWG funds, and if so to what account/purpose will it accrue?

A. No. The Division of Federal Aid does not have the authority to invest these funds. Therefore the SWG program will accrue no interest.

Q29. Will FA use any of the 3% SWG administrative funds for Administrative Grants?

A. No. The Division of Federal Aid anticipates using the 3% to administer the SWG program.

Q30. Will the fiscal management procedures for administration of SWG grants be available before FA actually awards grants?

A. Yes.

Q31. What will FA require a State to do about record keeping and audits of the SWG program?

A. States must comply with the requirements in OMB Circular A-133 and 43 CFR Parts 12.66 and 12.82.

Grant Administration

Q32 (revised). Can a State request pre-award cost reimbursement for activities that took place prior to FA approval of SWG Grants?

A. No. As is the practice with the Wildlife Restoration program, only expenses incurred and budgeted during the grant period would be reimbursed. However, a State may request reimbursement for pre-award costs for certain necessary expenses detailed in the grant agreement. Pre-award costs are those incurred prior to the effective date of the award where such costs are necessary to comply with the proposed delivery schedule or period of performance. Such costs are allowable only to the extent that they would have been allowable if incurred after the date of the award and only with the written approval of the awarding agency (OMB Circular A-87). However, under no circumstance will charges using FY 2002 funds prior to November 5, 2001 (the date the FY 2002 State Wildlife Grant program was enacted) qualify.

Q33. Where should a State send its Grant documents and who will approve them?

A. States will submit grant documents to the appropriate RO, where RO staff will review and approve them.

Q34. What information must a State submit for SWG funding of a grant proposal?

A. SWG grant proposals must include the following: Application for Federal Assistance (Form SF-424); one or more Project statements describing need, objectives, expected results or benefits, approach or procedures, location, and estimated cost (OMB Circular A-102); other supporting documents as necessary to address compliance with applicable requirements (such as National Historic Preservation Act, National Environmental Policy Act, Endangered Species Act, Americans with Disabilities Act); and a grant agreement (Form 3-1552) including a schedule of projects to be funded, a breakdown of estimated cost by project, and additional supporting documents as required. The RO may also require a statement of assurance.

In accepting Federal funds, States and other grantees must comply with all applicable Federal laws, regulations, and policies. FA will handle compliance the same way it currently is for WR and SFR programs. The RO staff will work with each State to ensure this at the project level.

Q35. With what accounting and administrative grant requirements must States comply in regard to SWG?

A. As with other federal grant programs in the Department of the Interior, 43 CFR Part 12 provides general grant guidance and OMB Circular A-87 provides guidance on cost principles. All OMB circulars can be accessed on the web (see link below).

Appendices

Please note: For brevity, Appendices referenced here have been removed. If you want a copy sent to you or have other questions, please send a note to: swgidea@gw.dec.state.ny.us.