1 G P D Grants Made Easy: Awarding and Monitoring Federal Grants Presented for the workshop at UMD School of Business sponsored by Governor’s Grants Office.

1

G P DGrants Made Easy:

Awarding and Monitoring Federal GrantsPresented

for the workshop at UMD School of Business sponsored by

Governor’s Grants Office and Washington D.C. Mayor’s

Office of Partnerships and Grant Services

Grant Programs Directorate

2

FEMA Grant Programs Directorate (GPD)

Our Mission…To provide a unified, solutions oriented approach to federal

financial assistance management in support of FEMA’s

multi-faceted mission, priorities and customer base.

Our Vision…The recognized leader valued for proactive federal financial

assistance management that prepares the American public

and supports them in their times of greatest need.

3

Scope of FEMA Grant Programs• Provide grants management business services

• 50 Grant Programs at FEMA across 7 Directorates; also award and manage one-time grant awards (i.e., earmarks)

– 6 disaster grant programs– Disaster and non-disaster grant programs follow different processes

• Regional grants staff do not award disaster grants, but do manage them. Program Staff have award authority per Program Regulations.

• 2007 Data– Non Disaster

• 7646 grants awarded (grants not projects)• Over $5B awarded

– Disaster• 129 grants awarded (grants not projects)• Over $5B awarded

44

FY 2007 Grant Awards

Type of Grants Number of Awards FY 2007Assistance to Firefighters Grants 6436 $ 672,280,341 Preparedness 788 $ 3,697,455,785

Disaster Assistance 129 $ 5,471,384,499

Non-Disaster Grants 422 $ 785,490,791

Total Awarded in FY 07 7775 $ 10,626,611,416

5

U.S. Fire Administration– Reimburse Firefighting on

Federal Property*– Degrees at a Distance*– Training Assistance*– State Fire Training Systems Grants– TRADE Grants– NFA Education Programs*– EMI Independent Study*– EMI Residential Educational*– EMI Training Assistance*– Fire Service Hazardous Materials– PARADE Grants– Safe Kids

Mitigation– Earthquake Consortium– National Dam Safety– Cooperating Technical Partners– Map Modernization Management Support– Community Assistance Program –State Support

Services Element – Flood Mitigation Assistance– Repetitive Flood Claims– Pre-Disaster Mitigation Competitive– Hazard Mitigation Grant Program– Severe Repetitive Loss

Disaster Operations– Urban Search and Rescue Cooperative

Agreements

*Direct Federal Assistance, loan, stipend programs

Currently in RegionsHQ Grant ProgramsColor Code

FEMA Grant Programs by Directorate

6


Disaster Assistance– Alternative Housing Pilot Program– Debris Removal Insurance– Disaster Donations Management– Katrina Case Management– 9/11 Heroes Stamps *– Emergency Food and Shelter National

Board– Fire Management Assistance– Public Assistance– Crisis Counseling Program– Individuals and Households - Other Needs– Community Disaster Loans *– Cora Brown Fund *– Disaster Unemployment Assistance *– Disaster Legal Services *– Disaster Housing Operations for

Individuals and Households * – Disaster Housing Assistance *

Grant Programs– Assistance to Firefighters Grant (AFG) Program– Staffing for Adequate Fire Emergency Response Grant

Program (SAFER)– Homeland Security Grant Program (HSGP)

• State Homeland Security Program (SHSP)• Urban Areas Security Initiative (UASI)• Metropolitan Medical Response Grants (MMRS)• Citizen Corps Program (CCP)

– Transit Security Grant Program (TSGP)• Intercity Passenger Rail Security (Amtrack)• Freight Rail Security Grant Program (FRSGP)

– Port Security Grant Program (PSGP)– Intercity Bus Security Grant Program (IBSGP)– Trucking Security Program (TSP)– Buffer Zone Protection Program (BZPP)– Emergency Operations Centers (EOC)– Operation Stonegarden (OPSG)– Interoperable Emergency Communication Grants (IECG)– UASI Non-Profit– Public Safety Interoperable Communications (PSIC)

Program– Emergency Management Performance Grant (EMPG)– Real ID Grant Program



7

National Preparedness

–System Assessment and Validation for Emergency Responders (SAVER)*–National Training Program–Competitive Training Grant –Homeland Security Preparedness Technical Assistance–Systems Support Grant Program–Chemical Stockpile Emergency Preparedness Program (CSEPP)–Commercial Equipment Direct Assistance Program (CEDAP) *–Regional Catastrophic Preparedness Grant Program




8

Evolution of GPD • FEMA formed in 1979 to respond to natural disasters and civil

emergencies

• Grants Management Branch established within the Office of Chief Procurement Officer

• Office of Justice Programs (OJP) establishes the Office for Domestic Preparedness (ODP)

• Homeland Security Act of 2002 – ODP transferred to DHS March 1, 2003

• 2003 – Office of State and Local Government Coordination and Preparedness (SLGCP)

• 2005 – SLGCP is incorporated under the Preparedness Directorate as the Office of Grants & Training (G&T)

• Post Katrina Emergency Management Reform Act (PKEMRA) of 2006 – Preparedness to FEMA as of April 1, 2007

• Grants Management Branch, Preparedness Programs Division (PPD), Office of Grant Operations (OGO) combined to form the Grant Programs Directorate

9

Grant Programs Directorate (GPD)Office of the Assistant

Administrator for Grant Programs

W. Ross Ashley III

Office of the Assistant Administrator for Grant Programs

W. Ross Ashley III

Grant Development & Administration Division (GD&A)

T. Trautman

Grant Development & Administration Division (GD&A)

T. Trautman

Business Support & Data Analysis Division (BSDA)

L. Lewis


L. Lewis

Financial Accountability & Oversight Division (FAO)

L. Lewis


L. Lewis

Assistance to Firefighters

B. Cowan


B. Cowan

Transportation Infrastructure Security

M. McNamara (A)

Transportation Infrastructure Security

M. McNamara (A)

Homeland Security Programs

E: J. HamptonC: M. Larson (A)

W: J. Marks


E: J. HamptonC: M. Larson (A)

W: J. Marks

Program Development

Stacey Street (A)

Program Development

Stacey Street (A)

Systems

B. Costa (A)

Systems

B. Costa (A)

Reporting and Analysis

C. Toro (A)


C. Toro (A)

Training

D. Simmons (A)

Training

D. Simmons (A)

Regional Operations & Business Support

J. Cramer (A)


J. Cramer (A)

Operations

J. Capps (A)

Operations

J. Capps (A)

Financial Monitoring

N. Baugher (A)

Financial Monitoring

N. Baugher (A)

Audit

M. Lloyd (A)

Audit

M. Lloyd (A)

Grant Development & Admin. – GD&A

Grant Development and Administration (GD&A)


Transportation Infrastructure

Support

Program Development



11

GD&A - Assistance to Firefighters (AFG)

• Oversee funding for firehouses

and EMS rescue organizations

• Develop grant guidance and

reports

• Administer and programmatically monitor grants (e.g. award, execution, closeout)

12

GD&A - Transportation Infrastructure Security

• Programmatic grant oversight for the majority of Infrastructure Protection Program (IPP) components

• Key programs include

IBSGP, PSGP

and TSGP

13

GD&A - Homeland Security Programs

• Programmatic grant

oversight for Homeland

Security Preparedness Programs

• Key programs include

EMPG and HSGP (CCP, MMRS, SHSP, and UASI)

14

GD&A - Program Development

• Establish program

guidance for new and

existing grant programs

• Provide programmatic grant program administration activities as related to award execution and closeout for technical assistance elements of HSPTAP

15

BSDA and FAO





SystemsSystems



Training Training



OperationsOperations

Financial MonitoringFinancial Monitoring

AuditAudit

16

BSDA/FAO has 7 Functional Areas

• Policy• Regional Operations• Operations (HQ)• Systems• Training• Reporting and Analysis• Audit (A-133)

17

Functional Areas

• Each functional area plays a unique and interrelated role in the organization.

• All require extensive knowledge of the Federal requirements for all grants as outlined in legislation, OMB Circulars, Regulations.

• Every functional area ensures compliance, standardization, and internal controls.

18

– Federal Grant and Cooperative Agreement Act– Authorizing Legislation (i.e. 9-11 Act, Stafford Act)– Appropriations Language– Appropriations Law– Federal Regulations (i.e. 44 CFR)– Program Guidance– OMB Circulars (Administrative Requirements, Cost

Principles, and Audit)• State and Local Governments: A-102, A-87, A-133• Educational Institutions: A-110, A-21, A-133• Non-Profits: A-110, A-122, A-133• For Profit: A-110, FAR 31.2, A-133

Compliance

19

Standardization

• We ensure that FEMA applies Federal requirements listed above evenly across all grant programs.

• We ensure standardization of processes and procedures wherever possible.

• We standardize the implementation, application, review, award/obligation, management, and closeout of grants.

20

Internal Controls

• We are the officials with the delegation of authority to obligate FEMA in legally binding non-disaster grant agreements.

• We ensure the proper separation of duties between the program office that determines eligibility and the fiduciary agent that determines reasonableness, allowability and allocability of grant dollars.

• We provide the review, oversight and documentation required by all FEMA offices to legally bind the Federal government in a grant agreement.

21

GPD Outreach to Minority Institutions

Increase capacity of Minority Colleges and Universities (MCU) to compete effectively for grants.

Federal Agencies Are Required to Support:

Executive Order 13256 – President’s Board of Advisors on Historically Black Colleges and Universities (HBCU)

Executive Order 13230 – President’s Advisory Commission on Educational Excellence for Hispanic Americans (HSI)

Executive Order 13270 – Tribal Colleges and Universities (TCU)

22


GPD Goal

Implement a strategic plan for the next three fiscal years to support Historically Black Colleges and Universities (HBCU), Hispanic Serving Institutions (HSI), and Tribal Colleges and Universities (TCU) as outlined below.

Three-Phased Approach

1) Establish partnerships

2) Utilize campus facilities

3) Visit campuses to attend job fairs and conduct workshops for faculty about FEMA grant funding opportunities

23


1) Establish Partnerships Between: FEMA Headquarters and Regional Offices HBCU, HSI and TCU Non-Federal Organizations

2) Utilize Space at HBCU, HSI, and TCU for Meetings and Workshops attended by GPD staff and grant recipients.

3) Visit Campuses Attend Job Fairs Conduct Grant Workshops for Faculty Disseminate FEMA Materials

24

Locations of FEMA Regional Offices

= Regional Office

25


Select at least one minority institution per HBCU, HSI, and TCU as a site for an event to support three minority institutions per fiscal year.

Next Steps

1) Identify event or activity planned for each institution.

2) Set date for event or activity.

3) Determine cost of event or activity.

26

Distribution of HBCUs, TCUs and HSIs

MT

WY

ID

WA

OR

NV

UT

CA

AZ

ND

SD

NE

CO

NM

TX

OK

KS

AR

LA

MO

IA

MN

WI

IL IN

KY

TN

MSAL GA

FL

SC

NC

VA

OH

MINY

PA

MD

DENJ

CTRI

MA

MEVTNH

AK

Puerto Rico

HI

DC (HSI and HBCU)

WV

III

III

IV

VVII

VI

VIII

IX

X

Key

HBCU = Historically Black Colleges and Universities HSI = Hispanic Serving Institutions TCU = Tribal Colleges and Universities

Virgin Islands

American Samoa Guam U.S. Trust Territory of the Pacific Islands

27

FEMA Grant Program Eligibility

Universities are Eligible to Be Grantees of:

Competitive Training Grants Program Fire Prevention & Safety

Universities are Eligible as Sub-Grantees for:

Homeland Security Grant Program Pre-Disaster Mitigation Program Public Assistance Grant Program

28

Workshop Overview

29

Workshop Objectives

• Build Team Approach

• Understand the Business Practices

• Develop Networks Among Recipients and Subrecipients

• Problem Solve on Specific Issues

30

FEMA Grants ManagementFrom the Top

31

Grants Management Business Process

• Applies to All Grant Programs

• Manages Resources

• Creates Common Framework and Communication

32

Business Process = The Grants Cycle

Funding

AcquisitionProgram

Establishment

SubrecipientSolicitation

SubrecipientSelection

Applicationand Award

MonitoringProject

Modification

Payments Reporting AuditsClose-

Out

33


• Fundamentals for Any Grant Program

• Processes are Not Mutually Exclusive

• Cycle Sequence is Important

• Starts with Pre-Award and Ends with Post-Award

34

Pre-Award Business Practices

FundingAcquisition

ProgramEstablishment




35

Post-Award Business Practices

MonitoringProject

Modification Payments ReportingAudits and Close-out

36


Funding Acquisition

37

Award and Terms & Conditions

• Award Notification to Grantee

• Terms & Conditions

• Sign Award and Special Conditions

38

Setting Program Prioritiesfor the State/Territory

• Determining Priorities and Capabilities

• Support Homeland Security Strategic Goals

• Identifying Initiatives, Investments and Projects

• Consensus from State/Territory Advisory Board

39

Setting Program Priorities

• Establish Subrecipient Grant Period

• Determine Competitive/Non-Competitive Application Process

40


ProgramEstablishment

41

Establishing Policies and Procedures

• All Grant Stages

– Application

– Award

– Administration

– Review

42

Establishing Your Program

• Roles and Responsibilities– Policy, Program and Grants

• Setting Goals and Priorities

• First 100 Days

43


• Physical Location

• Information Technology Requirements/Needs

• Communication…External

– Public– Media Relations– Attorneys…State, County, Other– Subrecipients…Your Customers

44


• Communication…Internal

– Written Policies/Procedures

– Regular Staff Meetings

– Dialogue with Senior Management

45


• Information Management

– Accessible…Shared with All Disciplines– Retrievable…eGMS– Analyze Data to Improve Decision-making– Data Calls– Supportable

46


• Strong Financial Management System

• Staffing Needs and Structure…Key Positions

• Integrating Policy, Program and Financial

• Assistance from Other Agencies… Memorandum of Understanding (MOU)

47


• Hiring Personnel

– Management and Administrative (M&A) Costs vs. Planning Costs

– Position Descriptions– Posting Jobs and Interviewing– Background Checks - Time is $– Consultant Contracts

48


• Training Personnel

– Cross-training– Retention and Career Development– M&A Use for Online Courses– M&A Budget…Travel for Staff Training– Document and Evaluate Annually

49



50

Prepare Applications and Guidelines

• Integrate Priorities

• Require Budget and Program Narratives

• Incorporate Required Elements

51

Prepare Applications and Guidelines

• Include Grant Terms and Conditions

• Required Signatures

• Include Example of Subgrant Application

52

Announce Funding and Priorities

• Publish Funding Availability and Deadlines

• Consider Conditional Grant Awards

• Conduct Grant Application Workshops

53



54

Develop Criteria, Review and Select

• Policy, Program and Financial Grant Staffing

• Compare Project with Goals

• Supports Approved Initiatives and Investments

• Cost Analysis of Budget, including Narrative

55

Develop Criteria, Review and Select

• Necessity, Reasonableness, Appropriateness

• Review by Program Office (PO)

• Review Prior Subrecipient Performance

56



57

Subawards and Release of Funds

• Subrecipient Special Conditions

• State Policies and Procedures

• Reporting Forms and Instructions

• Program Evaluation

• Audit and Close-out Forms and Instructions

58

Financial Management

• Organizing for Receipt of Federal Funds

• Program v. Financial-Not Mutually Exclusive

• Understanding Federal Requirements

• Establishing Policies and Procedures

59

Financial Management Systems

• Minimum Requirements for Financial System

– Provide Financial/Performance Data• Required by A-102 and 2 CFR Part 215

– Associate Grant Expenditures to Specific Funding Source

– Provide Clear Audit Trail

– Manage Cash Effectively

60


• “Adequate” Accounting Systems Require

– Internal Controls– Ability to Test Internal Control– Chart of Accounts– Compliance with CMIA– Procedures Minimizing Federal Cash-on-Hand

61



– Track Expenditures (Budget Control)

– Track both Financial and Program Budgets

– Ensure Allowability of Costs Charged to Grants

62



– Documentation for All Grant-related Expenditures

• Broken Down by Award

– Fulfill Government-required Financial Reporting

63


• Must Record and Report Grant Funds

– Receipt

– Obligation

– Expenditure

64

OMB Circulars: Which Do I Follow?

• State, (Territories), Local Governments and Indian Tribes

– A-87 for Cost Principles

– A-102 for Administrative Requirements

– A-133 for Audit Requirements

65

OMB Circulars: Which Do I Follow?

• Educational Institutions, Hospitals and Non-Profits

– A-21 for Cost Principles (Educ. & Hospitals Only)

– A-122 for Cost Principles (Non-Profits Only)

– A-110 for Administrative Requirements

– A-133 for Audit Requirements

66

Policies and Procedures

• What?

– Integrate Federal and State Policies

– Develop Internal and External Forms and Procedures

– Publish Formally

67

Policies and Procedures

• Why?

– Provides Documentation and Authorization– Tracks Modifications– Provides Accountability and Audit Compliance

• Who?

– Obtain Support Prior to Implementation

68

Procurement

• Review Financial Guides and OMB Circulars

• Identify Conditions Requiring Prior Approval

• Develop Forms for Prior Approval

69

Procurement

• Understand Differences Between Types

– Competitive

– Federal (GSA) or State Contract

– Sole Source-Use is Discouraged• Emergency or Uniqueness

70

Procurement– Sole Source requirements in 44 Code of Federal

Regulations (CFR) Part 13:

– Item only available from one source– Emergency– Awarding agency authorizes– After solicitation of a number of sources,

competition deemed inadequate

– Project Director and Local Procurement Official Signatures

71

Fiscal Matters

72

Fiscal Matters…Proceed with Caution

• Allowable vs. Unallowable Costs

• Prior Approval Costs

• Renovations and Construction

• Travel Authorizations

73


• Time and Effort

• Overtime and Backfill

• Direct Costs

• Indirect Costs

74


• Supplantation• Consultants

– Fair Market Value-cautious on sole sourcing contractors

• Interest Earned/Program Income

• Match

75


• Cash Advance– Interest Earned (CMIA)

• Outstanding Purchase Orders

• Excessive Spending Near End of Grant Period

• Records Retention

76


Monitoring

77

Monitoring Visit

• Conducted by Program Analyst

• Two Types

– Desk…Administrative Monitoring

– On-site…Strategic Monitoring

78

Program Monitoring VisitDesk…Administrative Monitoring

• Office Based

• Review Recipient’s Signed Grant Award

• Review Signed Application (SF-424

79

DHS Program Monitoring VisitDesk…Administrative Monitoring

• National Environmental Policy Act (NEPA) Letter

• Copies of Modifications / Amendments

• Follow-up Letter with Findings

80

DHS Program Monitoring VisitOn-site…Strategic Monitoring

• Pre-visit

– Review DHS Guidance (National Priorities, Planning Scenarios, TCL, etc.)

– Review Current Fiscal Year Investments

– Review Financial Monitoring Report(s) and Performance Report(s) for Follow-up

81

DHS Program Monitoring VisitOn-site…Strategic Monitoring

• Final Steps

– Post-visit Letter (15 days)

– Monitoring Report (30 days)

82

GPD Financial Monitoring Visit

Mission: Ensure Stewardship over Federal Funds Awarded

83


• GPD Does Not Conduct Audits

• GPD Does Conduct– On-site Financial Reviews– Desk-based Financial Reviews– Resolution of Audit Reports– Technical Assistance to Grantees

84


• Pre-Visit Letter to Recipient– All Financial and Administrative Grant Files

– List of Awardees and Files for Each Subaward Related to Each Grant

– Policies and Procedures Manuals

85


• Pre-Visit Letter to Recipient – Detailed General Ledger (G/L) Reports

• All Expenditures Charged to Each Grant Award

– Financial Status Reports (SF-269a)

– G/L Reconciliations for Each Quarter

86


• Pre-Visit Letter to Recipient– Supporting Documentation for All Expenditures

• Invoices• Receipts• Purchase orders• Contracts

87


• Pre-Visit Letter to Recipient – Supporting Documentation for All Expenditures

• Travel Authorization Forms/Travel Vouchers• Timecards• Payroll Registers

88


• Create Monitoring Profile– Program Office Monitoring Report – Audit Findings– Grant File Review– Pass-through Requirements– SF269 Analysis– Match Requirements

89


• ANALYZE, REVIEW and EVALUATE– Procurement Practices– Subrecipient Files (Programmatic and

Financial)– Subrecipient Monitoring– Accounting System– Management and Administration (M&A)– Inventory

90


• ANALYZE, REVIEW and EVALUATE– Policies and Procedures– Flow of Funds– Pass-through Requirements– File Documentation – SF269 Analysis– Payroll– Travel

91

GPD Financial Monitoring Visit Top Monitoring Findings

• Inventory Management Deficiencies

• Inadequate Subrecipient Monitoring

• Excess Cash on Hand

• Grantee Has No Written Procedures

92


• Project Period Expired• No Grant Adjustment Approving Extension

• Failure to Manage Audit Results

• Inadequate Accounting Procedures

93


Financial Status Reports Fail To Agree With Accounting Records

• Questioned Expenditures

• Untimely Submission of SF-269a Financial Status Reports

94

Case Study: Monitoring Assistance to Firefighters Grant (AFG)

Program

95

Assistance to Firefighters Grant (AFG) Program

• Financial Assistance directly to Fire Departments and non-affiliated EMS Organizations

• $560 million for FY 2008

• Fire Prevention & Safety

• Staffing for Adequate Fire & Emergency Response (SAFER)

96

AFG Site Visit Preparation

• Criteria for Selecting Grantees– State– Dollar Threshold– Diverse Sample

• Contact and Correspondence– Confirmation Letter and Reviewer Checklist

97

AFG Monitoring PPPE

• Procurement

• Personnel

• Property

• Expenditures

98

AFG Monitoring: Procurement

• Local or State Written Procurement Policy

• Specs, Bids, & Quotes

• Single Source Justification

• Conflict of Interest

99

AFG Monitoring: Personnel

• Time & Attendance (Fire Prevention & SAFER)

• Overtime Records (Training)

• Rosters

100

AFG Monitoring: Property

• Inventory & Maintenance Records

• Fixed Asset Threshold

• Physical Inventory of Equipment

101

AFG Monitoring: Expenditures

• Evidence of Expenditures to Include Purchase Orders, Receipts, and Canceled Checks

• Tracking / Flow of Funds

• A-133 Audit

102

Subrecipient Program and Financial Monitoring

103

Subrecipient Monitoring: Purposes

• Periodic Monitoring Required

• Information Sharing and Gathering

• Reinforce Priorities and Policies

104

Subrecipient Monitoring: Benefits

• Technical Assistance

• Subrecipients Identify/Showcase Successes

• Ensure Projects are on Track

• Improve Communications/Process

• Correct Shortfalls and Offer Solutions

105

Subrecipient Monitoring Different Approaches and Types

• Desk

– Provides Documentation– Used When Staff Size is Limited– Short-Term Approach– Captures Limited Information

106

Subrecipient Monitoring Different Approaches and Types

• Site Visits

– Staff/Team Approach– Direct Contact with Stakeholders

• Projects and Players– Visual Project Status…Big Picture– Requires Follow-up

107

Subrecipient MonitoringTools and Resources

• Federal Guidelines– OMB Circulars– Program Guidance (by Federal Fiscal Year)

• State Requirements

• Monitoring Checklist…for Consistency

108

Getting Started…Take the Temperature

109

Subrecipient Monitoring: What to Expect

• Determine General “Health”– Project Goals and Project Management

• Staff Make Advance Notes– Areas Needing Special Attention

• All Staff Talk (Policy, Program and Financial)– Most Recent Status

110

Subrecipient Monitoring What to Expect

• Pre-Monitoring Letter/Email

– Confirm Location, Date and Time– Name of Staff Conducting Monitoring– Subrecipient Representatives Required

• Project Director and Financial Officer• Authorized Official…Procurement Official(s)

111


• Pre-Monitoring Letter/Email– Monitoring Objectives– Materials/Equipment Necessary for Monitoring

• Inventory Inspection…Location• Grant File(s)• Programmatic and Financial Records• Grant-funded Personnel

112


• Compare Grant Files…Yours and Theirs– Signed Grant Award– Final Application (Program/Financial Pages)– Met Special Conditions– Personnel Status…Position Descriptions?,

Interviewing?, Hiring?– Status of Procurement, Revisions, etc.

113


• Review Grant File(s) Folder– Previous Monitoring Reports/Correspondence– Compliance with Deadlines– Progress and Financial Reports– Fiscal Information

• Invoices, Payments, Backup, POs

114

Subrecipient MonitoringSuggested Grant File Format

Label each tab1. Correspondence

2. Blank Forms, POC Info.3. Financial-Payments-Special Cond.4. Application, Signed Award, GANs5. Review & Audit Resolution6. Progress & Monitoring Reports

1. Corresp

ond

.

115


• Post Monitoring Letter (Desk or On-site)– Agreed-upon Modifications– Remaining Compliance Issues– Recommendations for Improvements

116

Subrecipient Monitoring What to Expect from the SAA?

• Post Monitoring Letter (Desk or On-site)– Recognition of Progress and Successes– Deadline for Response, if Applicable– Copied to Authorized Official

117


Project Modification

118


• Change in Budget or Project Scope/Focus• Grant Revisions and Grant Extensions

– Examples: • Programmatic: Change in Strategy

Objectives• Financial: Re-budgeting Remaining Funds

119


• Grant Revisions and Grant Extensions– Requires Pre-Approval from awarding Agency– Must Meet Original Program Intent– Allowable Costs from FY Program Guidance– Strong Justification for Review/Approval

120


• Document Approval • Compliant with OMB Circulars• Federal Guidelines• Allowable, Allocable, Reasonable

121


• Comply with Grant Terms and Conditions• Program Restrictions• Unallowable Costs • Be Prepared to Extend Grant Periods

122


Payments

123

Reimbursement

• Funds Disbursed as Costs Incurred

• Based upon Immediate Disbursement and Reimbursement– Limit Cash on Hand

124

Reimbursement

• Subrecipient Requests for Reimbursement

• Not Exceed Total Grant Award or Unallowable Cost

125

Advance

• Cash Management Improvement Act– Interest-Bearing Account

• $100 Annually for State/Local; $250 for Non-profits

–Remit Earned Interest Quarterly

126

Things to Consider

• Provide Examples– Invoices– Purchase Orders– Requests for Reimbursement– Unallowable Costs, etc.

127

Things to Consider

• Withhold Payments: Advance or Reimbursement

– Subrecipient’s Inability to Submit Reliable and/or Timely Reports

– Improper Administration of Subawards

128

Secrets for Success

129

Secrets for Success

• Your Role in Grant Administration

• Administrative Tools

• Resources

130

Secrets for Success

• Partnership - Partnership – Partnership

• Clear and Concise Communication

• Develop Policies and Procedures

• Participate in Training Opportunities (Workshops)

131

Secrets for Success

• Keep Your Eye on Strategy– Goals, Objectives, and Priorities

• Focus on What Matters Most

• Be a Change Agent

132

Secrets for Success

• Set Realistic Goals

• Cross Train Personnel

• Use Technology – Preferably Someone Else's

• Scan Your Environment

133

Workshop Conclusions

• You Understand the Business Practices

• You Know the Critical Events

• You Learned to Problem Solve

134

Workshop Conclusions

• You Can Build a Team Approach

• You Identified Promising Practices

• You Developed Networking Methods

135

Contact Information

• Donna Simmons, FEMA/GPD Acting Training Branch Chief– (202) 786-9579– [email protected]

• Vanessa Pert, FEMA/GPD Grants Management Specialist– (202) 786-9564– [email protected]

• FEMA Centralized Scheduling and Information Desk– 1-800-368-6498

1 G P D Grants Made Easy: Awarding and Monitoring Federal Grants Presented for the workshop at UMD School of Business sponsored by Governor’s Grants Office.

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