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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
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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.
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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
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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
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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
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FEMA Grant Programs by Directorate
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
*Direct Federal Assistance, loan, stipend programs
Currently in RegionsHQ Grant ProgramsColor Code
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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
*Direct Federal Assistance, loan, stipend programs
Currently in RegionsHQ Grant ProgramsColor Code
FEMA Grant Programs by Directorate
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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
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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
Business Support & Data Analysis Division (BSDA)
L. Lewis
Financial Accountability & Oversight Division (FAO)
L. Lewis
Financial Accountability & Oversight Division (FAO)
L. Lewis
Assistance to Firefighters
B. Cowan
Assistance to Firefighters
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
Homeland Security Programs
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)
Reporting and Analysis
C. Toro (A)
Training
D. Simmons (A)
Training
D. Simmons (A)
Regional Operations & Business Support
J. Cramer (A)
Regional Operations & Business Support
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)
Regional Operations & Business Support
Transportation Infrastructure
Support
Program Development
Assistance to Firefighters
Homeland Security Programs
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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)
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GD&A - Transportation Infrastructure Security
• Programmatic grant oversight for the majority of Infrastructure Protection Program (IPP) components
• Key programs include
IBSGP, PSGP
and TSGP
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GD&A - Homeland Security Programs
• Programmatic grant
oversight for Homeland
Security Preparedness Programs
• Key programs include
EMPG and HSGP (CCP, MMRS, SHSP, and UASI)
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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
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BSDA and FAO
Business Support & Data Analysis Division (BSDA)
Business Support & Data Analysis Division (BSDA)
Financial Accountability & Oversight Division (FAO)
Financial Accountability & Oversight Division (FAO)
SystemsSystems
Reporting and Analysis
Reporting and Analysis
Training Training
Regional Operations & Business Support
Regional Operations & Business Support
OperationsOperations
Financial MonitoringFinancial Monitoring
AuditAudit
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BSDA/FAO has 7 Functional Areas
• Policy• Regional Operations• Operations (HQ)• Systems• Training• Reporting and Analysis• Audit (A-133)
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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.
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– 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
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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.
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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.
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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)
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GPD Outreach to Minority Institutions
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
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GPD Outreach to Minority Institutions
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
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Locations of FEMA Regional Offices
= Regional Office
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GPD Outreach to Minority Institutions
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.
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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
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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
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Workshop Overview
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Workshop Objectives
• Build Team Approach
• Understand the Business Practices
• Develop Networks Among Recipients and Subrecipients
• Problem Solve on Specific Issues
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FEMA Grants ManagementFrom the Top
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Grants Management Business Process
• Applies to All Grant Programs
• Manages Resources
• Creates Common Framework and Communication
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Business Process = The Grants Cycle
Funding
AcquisitionProgram
Establishment
SubrecipientSolicitation
SubrecipientSelection
Applicationand Award
MonitoringProject
Modification
Payments Reporting AuditsClose-
Out
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Business Process = The Grants Cycle
• Fundamentals for Any Grant Program
• Processes are Not Mutually Exclusive
• Cycle Sequence is Important
• Starts with Pre-Award and Ends with Post-Award
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Pre-Award Business Practices
FundingAcquisition
ProgramEstablishment
SubrecipientSolicitation
SubrecipientSelection
Applicationand Award
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Post-Award Business Practices
MonitoringProject
Modification Payments ReportingAudits and Close-out
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Business Process = The Grants Cycle
Funding Acquisition
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Award and Terms & Conditions
• Award Notification to Grantee
• Terms & Conditions
• Sign Award and Special Conditions
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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
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Setting Program Priorities
• Establish Subrecipient Grant Period
• Determine Competitive/Non-Competitive Application Process
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Business Process = The Grants Cycle
ProgramEstablishment
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Establishing Policies and Procedures
• All Grant Stages
– Application
– Award
– Administration
– Review
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Establishing Your Program
• Roles and Responsibilities– Policy, Program and Grants
• Setting Goals and Priorities
• First 100 Days
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Establishing Your Program
• Physical Location
• Information Technology Requirements/Needs
• Communication…External
– Public– Media Relations– Attorneys…State, County, Other– Subrecipients…Your Customers
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Establishing Your Program
• Communication…Internal
– Written Policies/Procedures
– Regular Staff Meetings
– Dialogue with Senior Management
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Establishing Your Program
• Information Management
– Accessible…Shared with All Disciplines– Retrievable…eGMS– Analyze Data to Improve Decision-making– Data Calls– Supportable
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Establishing Your Program
• Strong Financial Management System
• Staffing Needs and Structure…Key Positions
• Integrating Policy, Program and Financial
• Assistance from Other Agencies… Memorandum of Understanding (MOU)
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Establishing Your Program
• Hiring Personnel
– Management and Administrative (M&A) Costs vs. Planning Costs
– Position Descriptions– Posting Jobs and Interviewing– Background Checks - Time is $– Consultant Contracts
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Establishing Your Program
• 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
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Business Process = The Grants Cycle
SubrecipientSolicitation
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Prepare Applications and Guidelines
• Integrate Priorities
• Require Budget and Program Narratives
• Incorporate Required Elements
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Prepare Applications and Guidelines
• Include Grant Terms and Conditions
• Required Signatures
• Include Example of Subgrant Application
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Announce Funding and Priorities
• Publish Funding Availability and Deadlines
• Consider Conditional Grant Awards
• Conduct Grant Application Workshops
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Business Process = The Grants Cycle
SubrecipientSelection
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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
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Develop Criteria, Review and Select
• Necessity, Reasonableness, Appropriateness
• Review by Program Office (PO)
• Review Prior Subrecipient Performance
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Business Process = The Grants Cycle
Applicationand Award
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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
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Financial Management
• Organizing for Receipt of Federal Funds
• Program v. Financial-Not Mutually Exclusive
• Understanding Federal Requirements
• Establishing Policies and Procedures
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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
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Financial Management Systems
• “Adequate” Accounting Systems Require
– Internal Controls– Ability to Test Internal Control– Chart of Accounts– Compliance with CMIA– Procedures Minimizing Federal Cash-on-Hand
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Financial Management Systems
• “Adequate” Accounting Systems Require
– Track Expenditures (Budget Control)
– Track both Financial and Program Budgets
– Ensure Allowability of Costs Charged to Grants
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Financial Management Systems
• “Adequate” Accounting Systems Require
– Documentation for All Grant-related Expenditures
• Broken Down by Award
– Fulfill Government-required Financial Reporting
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Financial Management Systems
• Must Record and Report Grant Funds
– Receipt
– Obligation
– Expenditure
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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
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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
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Policies and Procedures
• What?
– Integrate Federal and State Policies
– Develop Internal and External Forms and Procedures
– Publish Formally
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Policies and Procedures
• Why?
– Provides Documentation and Authorization– Tracks Modifications– Provides Accountability and Audit Compliance
• Who?
– Obtain Support Prior to Implementation
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Procurement
• Review Financial Guides and OMB Circulars
• Identify Conditions Requiring Prior Approval
• Develop Forms for Prior Approval
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Procurement
• Understand Differences Between Types
– Competitive
– Federal (GSA) or State Contract
– Sole Source-Use is Discouraged• Emergency or Uniqueness
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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
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Fiscal Matters
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Fiscal Matters…Proceed with Caution
• Allowable vs. Unallowable Costs
• Prior Approval Costs
• Renovations and Construction
• Travel Authorizations
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Fiscal Matters…Proceed with Caution
• Time and Effort
• Overtime and Backfill
• Direct Costs
• Indirect Costs
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Fiscal Matters…Proceed with Caution
• Supplantation• Consultants
– Fair Market Value-cautious on sole sourcing contractors
• Interest Earned/Program Income
• Match
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Fiscal Matters…Proceed with Caution
• Cash Advance– Interest Earned (CMIA)
• Outstanding Purchase Orders
• Excessive Spending Near End of Grant Period
• Records Retention
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Business Process = The Grants Cycle
Monitoring
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Monitoring Visit
• Conducted by Program Analyst
• Two Types
– Desk…Administrative Monitoring
– On-site…Strategic Monitoring
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Program Monitoring VisitDesk…Administrative Monitoring
• Office Based
• Review Recipient’s Signed Grant Award
• Review Signed Application (SF-424
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DHS Program Monitoring VisitDesk…Administrative Monitoring
• National Environmental Policy Act (NEPA) Letter
• Copies of Modifications / Amendments
• Follow-up Letter with Findings
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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
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DHS Program Monitoring VisitOn-site…Strategic Monitoring
• Final Steps
– Post-visit Letter (15 days)
– Monitoring Report (30 days)
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GPD Financial Monitoring Visit
Mission: Ensure Stewardship over Federal Funds Awarded
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GPD Financial Monitoring Visit
• GPD Does Not Conduct Audits
• GPD Does Conduct– On-site Financial Reviews– Desk-based Financial Reviews– Resolution of Audit Reports– Technical Assistance to Grantees
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GPD Financial Monitoring Visit
• 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
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GPD Financial Monitoring Visit
• 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
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GPD Financial Monitoring Visit
• Pre-Visit Letter to Recipient– Supporting Documentation for All Expenditures
• Invoices• Receipts• Purchase orders• Contracts
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GPD Financial Monitoring Visit
• Pre-Visit Letter to Recipient – Supporting Documentation for All Expenditures
• Travel Authorization Forms/Travel Vouchers• Timecards• Payroll Registers
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GPD Financial Monitoring Visit
• Create Monitoring Profile– Program Office Monitoring Report – Audit Findings– Grant File Review– Pass-through Requirements– SF269 Analysis– Match Requirements
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GPD Financial Monitoring Visit
• ANALYZE, REVIEW and EVALUATE– Procurement Practices– Subrecipient Files (Programmatic and
Financial)– Subrecipient Monitoring– Accounting System– Management and Administration (M&A)– Inventory
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GPD Financial Monitoring Visit
• ANALYZE, REVIEW and EVALUATE– Policies and Procedures– Flow of Funds– Pass-through Requirements– File Documentation – SF269 Analysis– Payroll– Travel
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GPD Financial Monitoring Visit Top Monitoring Findings
• Inventory Management Deficiencies
• Inadequate Subrecipient Monitoring
• Excess Cash on Hand
• Grantee Has No Written Procedures
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GPD Financial Monitoring Visit Top Monitoring Findings
• Project Period Expired• No Grant Adjustment Approving Extension
• Failure to Manage Audit Results
• Inadequate Accounting Procedures
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GPD Financial Monitoring Visit Top Monitoring Findings
Financial Status Reports Fail To Agree With Accounting Records
• Questioned Expenditures
• Untimely Submission of SF-269a Financial Status Reports
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Case Study: Monitoring Assistance to Firefighters Grant (AFG)
Program
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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)
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AFG Site Visit Preparation
• Criteria for Selecting Grantees– State– Dollar Threshold– Diverse Sample
• Contact and Correspondence– Confirmation Letter and Reviewer Checklist
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AFG Monitoring PPPE
• Procurement
• Personnel
• Property
• Expenditures
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AFG Monitoring: Procurement
• Local or State Written Procurement Policy
• Specs, Bids, & Quotes
• Single Source Justification
• Conflict of Interest
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AFG Monitoring: Personnel
• Time & Attendance (Fire Prevention & SAFER)
• Overtime Records (Training)
• Rosters
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AFG Monitoring: Property
• Inventory & Maintenance Records
• Fixed Asset Threshold
• Physical Inventory of Equipment
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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
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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
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Subrecipient MonitoringTools and Resources
• Federal Guidelines– OMB Circulars– Program Guidance (by Federal Fiscal Year)
• State Requirements
• Monitoring Checklist…for Consistency
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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
Subrecipient Monitoring What to Expect
• 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
Subrecipient Monitoring What to Expect
• 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
Subrecipient Monitoring What to Expect
• 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
Subrecipient Monitoring What to Expect
• 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
Business Process = The Grants Cycle
Project Modification
118
Project Modification
• Change in Budget or Project Scope/Focus• Grant Revisions and Grant Extensions
– Examples: • Programmatic: Change in Strategy
Objectives• Financial: Re-budgeting Remaining Funds
119
Project Modification
• 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
Project Modification
• Document Approval • Compliant with OMB Circulars• Federal Guidelines• Allowable, Allocable, Reasonable
121
Project Modification
• Comply with Grant Terms and Conditions• Program Restrictions• Unallowable Costs • Be Prepared to Extend Grant Periods
122
Business Process = The Grants Cycle
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