NATIONAL WEATHER SERVICE INSTRUCTION 70-211
OCTOBER 26, 2022
Financial
Management
Financial Management Policy, NWSPD-70-2
AGREEMENTS
GRETEN.TIMOTHY.
Digitally signed by
GRETEN.TIMOTHY.AARON.1019
AARON.1019191300
191300
10/26/2022
Date: 2022.10.26 15:33:05 -04'00'
Department of Commerce • National Oceanic & Atmospheric Administration • National Weather Service
NOTICE: This publication is available at: http://www.nws.noaa.gov/directives/.
OPR: W/CFO1 (I. Daclan) Certified by: W/CFO1 (T. Greten)
Type of Issuance: Emergency
SUMMARY OF REVISIONS: This directive supersedes NWSI 70-211, “Agreements”, dated
January 13, 2022. The following changes were made to:
• Reflecting changes to the procurement directive & routing process in the Agreements
directive:
• NWS OCFO delegates review and approval of procurement requests of
up to $500K to Portfolio/FMC directors.
Timothy Greten Date
Acting Chief Financial Officer/
Chief Administrative Officer
NWSI 70-211 OCTOBER 26, 2022
2
Agreements
Table of Contents Page
1. Purpose ............................................................................................................................... 2
1.1 Applicability ....................................................................................................................... 3
1.2 Policy .................................................................................................................................. 3
1.3 Outline of an Agreement .................................................................................................... 3
2. Type of Agreements ........................................................................................................... 4
2.1 International Agreements .................................................................................................... 4
2.2 No Cost Agreements ........................................................................................................... 5
2.3 Reimbursable Agreements .................................................................................................. 5
2.3.1 Reimbursable Agreements (Incoming Funds) .................................................................... 5
2.3.1.1 Reimbursable Funding ....................................................................................................... 6
2.3.1.2 Advance Funding ............................................................................................................... 6
2.3.2 Intergovernmental Personnel Act (IPA) Agreement........................................................... 7
3. Cleared Agreements & Signatures ...................................................................................... 8
4. Record Keeping .................................................................................................................. 9
4.1 Retention ............................................................................................................................. 9
4.2 Storage (Incoming Agreements Only) ................................................................................ 9
5. Waivers ............................................................................................................................... 9
6. Definitions .......................................................................................................................... 10
1. Purpose
This directive establishes the National Weather Service (NWS) policy for Agreements (e.g.,
Interagency Agreements, International Agreements, No-Cost Agreements, Reimbursable Agreements,
and Intergovernmental Personnel Act Agreements) and is in addition to any National Oceanic and
Atmospheric Administration (NOAA) policies or guidance. This directive is for agreements between
NWS and other Federal Agencies, State and Local Governments, Commercial Businesses,
Universities and Research Institutions, International Governments and other entities, either public or
private. This directive does not cover service level agreements (SLAs) between NWS and other
components within NOAA.
This directive also assigns responsibilities and establishes procedures for the processing of proposed
agreements, and amendments thereto, with other agencies and to assure proper coordination, control
and administration of such agreements.
NWSI 70-211 OCTOBER 26, 2022
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1.1 Applicability
The provisions of this order apply to all Interagency Agreements, International Agreements, No-Cost
Agreements, Reimbursable Agreements, and Intergovernmental Personnel Act Agreements,
modifications, and amendments, except for SLAs between NWS and other components within
NOAA.
1.2 Policy
• Agreements cover a wide range of services and may involve one or more administrative
actions such as contract negotiation, assignment of employed personnel, allocation of
employment ceiling, allotment of funds, rental of space, etc. It is therefore essential that all
such agreements be reviewed for pertinent administrative as well as substantive program
implications by the Program Manager as well as the Department of Commerce (DOC) Office
of General Counsel (OGC).
• The Program Manager and Portfolio / Financial Management Center (FMC) Director is
ultimately responsible for ensuring that program funds are spent in a manner that results in
planned outcomes. Further, NWS FMCs must ensure that adequate documentation is
maintained with respect to the results achieved under each agreement.
• During the drafting and planning process, the Program Manager shall communicate with
stakeholders within NOAA and NWS to ensure that the terms of the agreement can be
executed. Prior to signature, the agreement should be reviewed / approved by the appropriate
Portfolio or FMC Director(s). After the agreement has been approved by all parties, the
Program Manager (unless otherwise specified in this directive) is responsible for providing
the affected NWS Offices with a signed copy of the agreement and answering any questions
they may have with regards to the management and execution of the agreement.
• Agreements are not to be signed until after the DOC OGC has performed a review.
o DOC OGC sets a deadline for processing agreements in the 4th quarter of the fiscal
year. Priority review will be provided to those who submit their agreement package
by the deadline in early July. Any agreements submitted after the deadline will not be
guaranteed clearance within 30 to 45 days except for extenuating circumstances. If
you are expecting delays with your agreements, please coordinate with the NWS
Office of the Chief Financial Officer (OCFO), Budget Formulation and Execution
Division (CFO1) Reimbursable Team so a notice can be provided to the DOC OGC to
accommodate delays.
1.3 Outline of an Agreement
• All agreements must cite the statute upon which the agreement is based. Agreements may rely
upon one or more statutes. The Economy Act should be used as the statutory authority for an
agreement involving the transfer of funds only when a more specific authority supporting the
transfer is not available.
• Please refer to the reimbursable webpage for assistance with how to construct a
proper reimbursable agreement located at:
https://sites.google.com/a/noaa.gov/nws-best-practices/nwshq/cfo/reimbursable_agreements? Pli=1
NWSI 70-211 OCTOBER 26, 2022
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• All agreements will be documented in writing. At a minimum, agreements shall include the
following:
o Services being performed.
o Period of performance (should not exceed five (5) years).
o Period of Funding Availability (if applicable).
o Estimate of Cost for Services or Fixed Amount (if applicable).
o Obligating Authority (if applicable).
o Programmatic Authority.
o Termination Clause.
o Dispute Resolution Clause.
2. Type of Agreements
To assure appropriate coordination and consistent documentation of proposed agreements, the
following procedures and routing are prescribed for the different types of agreements.
2.1 International Agreements
Agreements with any international partners, whether it be a foreign governmental or non-
governmental partner, are required to be drafted in conjunction with the NWS Office of International
Activities (IA) and reviewed by the DOC OGC to make sure that the agreement complies with the
Case-Zablocki Act of August 22, 1972, 1 U.S.C. § 112b (the Act). The Act requires that all
international agreements entered into by the U.S. Government receive prior approval by the Secretary
of State.
• For a list of IA Staff, please follow this link here.
• Notify IA of your intent or need to enter into an agreement with an international partner
prior to beginning discussions with your foreign counterparts. IA will assist you with
foreign counterpart consultation and developing draft language that adheres to both NWS
international policy and U.S. foreign policy and is in compliance with the Case-Zablocki
Act.
• When IA has been notified of your intent to enter into an agreement with an international
entity, IA will assign a liaison from its office to assist you with the clearance process. The
liaison will coordinate interactions with NWS CFO1, DOC OGC, the Sponsor, Department of
State (DOS), Management, and any other party concerning the agreement.
• Submit unsigned agreement and paperwork to IA for review. IA will submit the paperwork to
the NOAA International Affairs Council and DOC OGC for Case-Zablocki review and/or
clearance.
• Once an International agreement is cleared by the DOC OGC and DOS, IA will coordinate
the signing procedures.
• Once an International agreement is signed, IA must provide a signed copy of the
agreement to the appropriate parties involved.
2.2 No Cost Agreements
Agreements between NWS and another party where no funds are being exchanged between NWS and
the other partner.
• Submit agreement to NWS Executive Affairs (EA). NWS EA will submit the agreement to
NWSI 70-211 OCTOBER 26, 2022
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DOC OGC for review. Documents may be submitted electronically.
Submission should include the following documents:
Document 1. If requesting expedited clearance, a written justification shall be provided and will
include the point(s) of contact name(s), phone number(s) and e-mail address(es).
Document 2. Previous OGC clearance (new agreements will not have prior clearance).
Document 3. Agreement to be cleared.
Document 4. Statement of Work, if appropriate.
Document 5. Backup/Miscellaneous documents, if appropriate.
2.3 Reimbursable Agreements
Reimbursable agreements will be approved and executed in accordance with appropriate delegations
of authority set forth in NOAA Reimbursable Agreement User Guide and Chapter 10 of the NOAA
Finance Handbook.
2.3.1 Reimbursable Agreements (Incoming Funds)
Requests initiated by other agencies for NWS to be the Performing Agency.
OGC Clearance – As soon as an agreement is drafted that requests NWS to provide services subject
to reimbursement, the unsigned agreement, along with any funding documents, will be referred to the
CFO1 Reimbursable Team for review.
The FMC submits the following documents into the DOC OGC Clearance Submission:
Document 1. If requesting an expedited clearance, a written justification shall be provided.
Document 2. Provide the point(s) of contact for technical and budget / administration so DOC OGC
can reach out to the appropriate personnel for questions related to the agreement.
Document 3. Previous OGC clearance memorandum, if applicable.
Document 4. The agreement and/or other documents for funding (i.e., 7600A and/or 7600B, Military
Interdepartmental Purchase Request (MIPR), Modification, etc.).
Document 5. Statement of Work, if applicable.
Document 6. Determination & Findings (D&F) (Economy Act), if applicable.
Document 7. Addendum or other backup documents, if applicable.
The CFO1 Reimbursable Team will then review the documents submitted above for completeness and
forward the paperwork for DOC OGC’s clearance. This process takes 30-45 days on average unless
expedited.
Signatures – After the DOC OGC has provided a memorandum of clearance, the CFO1 Reimbursable
Team will assist the FMC with routing the package for signatures above $250,000.00 within NWS.
Refer to section 3 for the incoming agreements signature procedure. The FMC is responsible for
acquiring the signatures from the partner agency.
Allotment Approval – After the DOC OGC has cleared the agreement and the authorized
signatures have been acquired from both NWS and the partner agency, the FMC shall submit a
NWSI 70-211 OCTOBER 26, 2022
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signed agreement package into the Unfilled Customer Order (UCO)/Allotment Submission for
processing.
A complete package for allotment approval would include the following:
Document 1. DOC OGC clearance memorandum.
Document 2. Signed agreement to (i.e., Acceptance MIPR, Modification, Amendment, 7600A and/or
7600B).
Document 3. Signed UCO / allotment form.
Document 4. Project code request form, if applicable.
Document 5. Statement of Work, if applicable.
Document 6. D&F (Economy Act), if applicable.
Document 7. Addendum or other backup documents, if applicable.
Once the FMC submits the complete documents above for allotment, the CFO1 Reimbursable Team
creates the CM004 (project code) and RADG002 (reimbursable allotment) in the Commerce Business
System (CBS). A Request for allotment approval in CBS shall then be forwarded to NOAA Finance.
Once NOAA Budget has posted the allotment, funding is available in CBS for Budget Operating Plan
(BOP) pick-up by the FMC.
2.3.1.1 Reimbursable Funding
Funds are paid to the sponsors after the work is performed. Reimbursable agreements are limited to
other Federal Agencies, State and Local Governments, and Universities.
o Fund Code 0007 – Funds are paid to the sponsor after the work is performed. NOAA
Finance will automatically bill the sponsors on a quarterly basis.
o Fund Code 0097 (NON Work-In-Process (WIP)) – Reimbursable Sales Fixed Fees (RSFF) are
based on fixed price for a product or service. Recipients are not billed on actual accrued costs
and RSSF projects are not recorded in the Commerce Finance System (CFS). Fund Code
0097 projects are billed only when NWS submits a request to NOAA Finance to bill the
Sponsor.
2.3.1.2 Advance Funding
Funds are paid by the sponsor in advance of work being performed. Both U.S. Government (Federal,
State, and Local) and non-federal (private, non-profit, research institutions and international) entities
can be setup as agreements requiring advance payment.
o In order to set up an advance agreement with a Federal entity, you must cite an authority
that allows you to accept funds in advance of work being performed.
o Fund Code 0006 – Funds are collected before NWS provides services in advance of work
being performed.
o Fund Code 0096 (NON WIP) – RSFF are based on fixed price for a product or service.
Recipients are not billed on actual accrued costs and RSSF projects are not recorded in CFS.
For Fund code 0096, project funds must be collected or billed in advance of work or services
being performed.
2.3.2 Intergovernmental Personnel Act (IPA) Agreement
NWSI 70-211 OCTOBER 26, 2022
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IPA agreements are a specialized form of an agreement that involves the detail of an employee from
one organization to another. An IPA agreement is substantially similar to any other agreement, but
includes a few additional provisions.
The FMC must submit the following documents to the NWS CFO1 Reimbursable Team for review
(Personally Identifiable Information (PII) must be removed):
● Document 1. Form CD-435, Procurement Request (unsigned).
● Document 2. An IPA Agreement (unsigned).
● Document 3. Form CD-516, Classification and Performance Management Record.
● Document 4. Standard Form (SF)-52, Request for Personnel Action (most current).
● Document 5. Certification of Bona Fide Need.
● Document 6. Position Description (most current).
● Document 7. D&F (Economy Act) (if applicable).
● Document 8. Official Memorandum from the FMC Director and concurrence emails
supporting the details.
The CFO1 Reimbursable Team will coordinate the review of the above documents with the OCFO
Management and Organization Division (CFO2) for completeness and forward the paperwork to DOC
OGC for review.
After the DOC OGC has reviewed and cleared the agreement, the FMC must submit the following
additional items to the CFO1 Reimbursable Inbox:
● Document 1. Signed UCO / Allotment Form.
● Document 2. Project Code Request Form.
● Document 3. DOC OGC Clearance Memorandum.
● Document 4. Signed CD-435, Procurement Request.
● Document 5. Signed IPA agreement.
All details of NWS personnel to positions outside of the NWS and all details of Senior Executive
Service (SES) employees and political appointees must be approved by the DOC Office of Human
Resources Management (OHRM). Therefore, the CFO1 Reimbursable Team shall coordinate with
CFO2 to submit the IPA packet to DOC OHRM.
After DOC OHRM approves, the CFO1 Reimbursable Team creates the CM004 (project code) and
RADG002 (Reimbursable allotment) in the CBS, then forwards the IPA packet to the NOAA Finance
for approval of the CM004 and RADG002. After NOAA Finance approves the agreement, it will be
sent to NOAA Budget for allotment posting.
Additional Resources and Information:
● Further information can be found in the DOC Agreements Handbook.
● The FMC is responsible for maintaining and storing the above documents in a file.
3. Cleared Agreements & Signatures
Once an agreement is cleared by DOC OGC, routing approval should follow the table and guidelines
NWSI 70-211 OCTOBER 26, 2022
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below. For anything above $500,000, use the prepared routing template and submit your complete
package to the NWS Agreements Team.
From
To (Limit)
Approver
$0
$2,999.99
Program Manager
$3,000.00
$499,999.99
FMC Director
$500,000.00
$999,999.99
CFO
$1,000,000.00 $4,999,999.99
Deputy Assistant
Administrator (DAA)
$5,000,000.00 +
NWS Assistant
Administrator (AA)
EXCEPTION: The approval levels outlined above are only for new agreements and outgoing
agreements (NWS is the requesting agency). Previously approved Agreements ($500K and greater)
requiring a modification, incremental funding, or a change to period-of-performance where NWS will
be the servicing agency (e.g. where the partner agency is sending funds to NWS to perform services)
will only require signature by the OCFO.
A complete reimbursable package to the CFO1 Reimbursable Team requires the following:
Outgoing Agreement for Signatures (NWS is the Requesting Agency):
Document 1. NWS Correspondence Routing Sheet.
Document 2. DOC OGC clearance memorandum.
Document 3. Agreement and funding documents that require signatures (i.e., Acceptance MIPR,
Modification, Amendment, 7600A and/or 7600B).
Document 4. Bona Fide Need Certificate form.
Document 5. Statement of Work, if appropriate.
Document 6. Signed D&F, if appropriate.
Document 7. CD-435 that requires signatures (within NWS use only).
Document 8. Backup/Miscellaneous documents such as price quote, if appropriate.
Incoming Agreement for Signatures (NWS is the Servicing Agency):
Document 1. NWS Correspondence Routing Sheet.
Document 2. DOC OGC clearance memorandum.
Document 3. Agreement and funding documents that require signatures (i.e., Acceptance MIPR,
Modification, Amendment, 7600A and/or 7600B).
Document 4. Statement of Work, if applicable.
Document 5. D&F (Economy Act), if applicable.
Document 6. Addendum or other backup documents, if applicable.
4. Record Keeping
The FMC in charge of an agreement is responsible for maintaining a file of paperwork associated
with the agreement for audit purposes. This file must be kept in accordance with DOC record
keeping requirements. This file, regardless of location, must contain the documents and information
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listed below, as applicable.
● A copy of the agreement and all amendments and addendums with signatures by all parties to
the agreement. The operating unit file copy of each of these documents shall contain the
agreement identification number.
● A copy of all clearance documents obtained in developing and completing the agreement.
● A copy of the budget or other basis for estimating funds to be obligated and/or resources
committed by each party, if applicable.
● Financial information (e.g., billing, MIPRs, receivables, payables, etc.), if applicable.
● Other pertinent material.
More information regarding record keeping procedures is located at:
https://www.noaa.gov/organization/administration/noaa-records-management
4.1 Retention
The official agreement file must be retained in accordance with the applicable operating unit specific
records retention schedule or the Government-wide general records schedule. To the extent you have
questions about what materials constitute records and the length of time records must be maintained,
you should consult with your operating unit’s records management officer.
4.2 Storage (Incoming Agreements Only)
The FMC is ultimately responsible for record keeping of their agreements; however, the CFO1
Reimbursable Team will also upload digital copies to the NWS repository page. This will ensure that
all parties in NWS have access to the agreements online if questions or concerns may arise.
5. Waivers
There are three types of waivers associated with agreements with incoming funds:
• Policy – In situations where advance payment is required (such as with an international
agreement), but the actual costs are unknown until the time of execution. A policy waiver
must be submitted prior to establishing the agreement within CBS.
• Rent – For all reimbursable agreements where a NWS federal employee codes their hours to a
reimbursable project code, a rent surcharge is automatically created. If the NWS employee is
not stationed in a NWS facility when working on the agreement, a waiver request should be
submitted.
• Overhead – For all reimbursable agreements where a NWS federal employee codes their hours
to the reimbursable project code, three levels of overhead (NOAA, Line Office (LO), and
FMC) surcharges are automatically created. If NWS Management feels that the full rates
should not be charged to the sponsor, they must obtain CFO approval on waiving rates.
Overhead rates cannot be waived on agreements under the Economy Act. Per NOAA policy,
overhead waivers are limited to 60%.
The FMC must coordinate with the CFO1 Reimbursable Team for the review and approval of their
waiver memorandum.
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6. Definitions
Assisted Acquisition(s): Interagency acquisitions for which a requesting agency, at its discretion,
has determined that it is in the best interest of the government to seek the acquisition services of a
servicing agency in the procurement of supplies or services from the private sector and where the
servicing agency awards a contract or order on behalf of the requesting agency.
Interagency Agreement: A written agreement between Federal agencies or components of Federal
agencies to acquire supplies or services as authorized by Statute.
Reimbursable Agreement: A contractual relationship under which the Service provides a product or
service to a non-Service party (including private entities), the costs of which are reimbursed by the
recipient.
Requesting Agency: A Federal agency that has a requirement and desires to obtain goods or services
from a servicing agency.
Servicing Agency: A Federal agency that is willing and able to provide goods or services to a
requesting agency.
