state plan 23(g) grant training (conducted august 1, 2013) occupational safety and health...
TRANSCRIPT
State Plan 23(g) Grant Training
(Conducted August 1, 2013)
Occupational Safety and Health AdministrationDirectorate of Administrative Programs
Directorate of Cooperative and State ProgramsOffice of State Programs
Training Objectives
• Gain a better understanding of the financial and program management processes related to State Plan grants
• Learn how to prepare financial and program documents for the annual applications process.
• Assist in identifying and remedying financial and program issues before they occur.
• Provide training materials to serve as a reference guide for financial and program requirements.
• Clarify reporting and application requirements
State Grants in the OSH Act
• State Plan grants
– Section 23(g) of OSH Act
• The Secretary is authorized to make grants to the States to assist them in administering and enforcing programs for occupational safety and health contained in State plans approved by the Secretary pursuant to section 18 of this Act. The Federal share for each State grant under this subsection may not exceed 50 per centum of the total cost to the State of such a program.
Definitions
What does it mean?
Base Award Level
Amount of funds designated during the fiscal year for base operations of the program. This amount is used to calculate the amounts for amendments once the appropriation is passed each year.
STATE PLAN
FY 2013 Final Base
Award LevelAlaska $1,369,800Arizona $2,286,400California $26,274,837Connecticut (PEO) $623,300Hawaii $1,457,000Illinois (PEO) $1,189,500Indiana $2,188,000Iowa $1,980,300
FY 2014 Initial Award Levels
• Prepare FY 2014 grant documents using the FY 2013 enacted base award level (Appendix K of the Instructions)
• Any revisions will be processed through a Grant Agreement Amendment.
• Base award levels will be revisited during FY 2014 and we will work those states that identified FY 2013 deobligations to see how they will be factored in FY 2014 base award levels.
The portion of the project or program costs not borne by the Federal Government.
23(g) State Plan: All funds require a one-to-one match. The Federal share may not exceed 50 percent of the total cost of the program.
Cost Sharing or Matching
Funding Period
• The period of time when Federal funding is available for obligation by the recipient.
• The funding period for State Plan awards begins October 1 and ends September 30.
• All funds must be fully obligated by September 30.
Regulations
OMB Circulars Grants and Cooperative Agreements with State and
Local Governments
http://www.whitehouse.gov/omb/grants/grants_circulars.html
• Cost Principles• A-87: State and Local Governments - 2 CFR, Part 225
• Administrative Requirements• A-102: State and Local Governments
• Audit Requirements• A-133: States, Local Governments, and Non-Profit
Organizations
29 CFR 97 - PART 97--UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS
http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=66c6dc360516d26d2e4eca1581b255c8&tpl=/ecfrbrowse/Title29/29cfr97_main_02.tpl
• Codification of OMB Circular A-102
DOL Regulations
• Each program is assigned a unique CFDA number.
• 17.503 - 23(g) State Plan
• Use this number on the SF 424, SF424A
CFDA
23(g) State Plan Grants
OSHA DIRECTIVE NUMBER: 11-01 (CSP 02)http://www.osha.gov/OshDoc/Directive_pdf/CSP_02_13-04.pdf
FY 2014 Instructions
FY 2014 Application Documents• 5-Year Strategic Plan• One-Year Annual Performance Plan • Form OSHA 110 – 23(g) Grant Agreement• SF 424 Application for Assistance• SF 424A – Budget Non-construction Programs• 23(g) Object Class/Supportive Cost Breakout• 23(g) Assurances & Certifications, Restrictions and
Conditions • 23(g) MOA with Salt Lake Technical Center (SLTC) or
State/Private Laboratory Sample Analysis Information
5-Year Strategic Plan• Each state is required to have a five-year
Strategic Plan made up of outcome-oriented strategic and performance goals.
• If the Plan expires in FY 2013 – FY 2014, the grant application must include a new five-year Strategic Plan or a one-year extension of the current Plan.
• See Pages 4 to 5 of instructions for specific information.
Annual Performance Plan• Overview of the State Plan• Profile of the State Agency
– State Demographic Profile– Covered Issues– Organizational Chart– 23(g) Personnel Funding Breakout
• Mandated Activities• Projected Activities/Goals• See Appendices B, C and D for more details
Annual Performance Plan (Cont.)• Must be approved by RA• Activities and outcome/results-oriented
goals aligned with 5-year Strategic Plan• Include mandated activities as strategic
tools to achieve Strategic Goals• Include specific activities and their
outcome/results-oriented goals, encompassing all major components of program.
• Address recommendations from previous year’s FAME.
23(g) Personnel Funding Breakout Chart
• Template in Appendix E• Identifies all 23(g) grant positions charged
to the grant• Shows allocated vs On Board as of August
15th (date applications are due) for 50/50 and 100% State Funded
• Must correspond to the Organizational Chart and Object Class/Supportive Cost Breakout Chart.
Form OSHA 110 – 23(g) Grant Agreement
• Used only for initial award each fiscal year.
• Usually completed at the base award level approved for the previous fiscal year, but should not exceed the amount that the state can match.
• Signed by State Designee and Director of Administrative Programs.
• This form is required for each agreement and must accompany the SF 424 Application for Federal Assistance. This is the only time this form is completed.
• This form must be submitted as an attachment on Grants.gov.
• See Appendix G.
OSHA 110 23(g)
(1) Enter: Region Number, State, Grantee Name
Leave Blank: Grant Number (it will be assigned when agreement is final)
Page 1 of 1
U.S. DEPARTMENT OF LABOR (1) Region:
Occupational Safety and Health Administration
State:
GRANT Grantee:
AGREEMENT Grant Number:
OSHA 23(g) OPERATIONAL Starting Date: October 1, 2013
PROGRAM Ending Date: September 30, 2014
OSHA 110 23(g) - Continued
(2) Enter: State/Recipient Name, State Designee Name, Address, Recipient Liaison Name, Telephone Number
(3) Enter: OSHA Regional Administrator, Telephone Number
(2) Recipient (3) U.S. Department of Labor Name: Address:
________________________________ ________________________________
Recipient Liaison Representative OSHA Liaison Representative
________________________________ ________________________________
Area Code and Telephone Number Area Code and Telephone Number
OSHA 110 23(g) - Continued (4) Authority for Grant: P.L. 91-596, under Section 23(g) Pct. Total Funds
1. Federal Base Award Amount: 50% 2. State Base Award Amount:
(please do not include 100% funding) 50%
3. Total Recipient Share: 4. Recipient 100% Funding: (please also include in line 3) 5. Total State and Federal Funds Allocated to This Agreement: (line 1 plus line 3) Terms and Conditions of the Grant: This GRANT AGREEMENT consists of the entire grant application,
including all attachments, exhibits, enclosures, etc.
OSHA 110 23(g) - Continued (4) Authority for Grant: P.L. 91-596, under Section 23(g) Pct. Total Funds
1. Federal Base Award Amount: $1,000,000 50%
2. State Base Award Amount:
(please do not include 100% funding) $1,000,000 50%
3. Total Recipient Share: $1,250,000
4. Recipient 100% Funding: $ 250,000 (please also include in line 3)
5. Total State and Federal Funds $2,250,000 Allocated to This Agreement: (line 1 plus line 3) Terms and Conditions of the Grant: This GRANT AGREEMENT consists of the entire grant application,
including all attachments, exhibits, enclosures, etc.
OSHA 110 23(g) - Continued
(5) Enter: Signature by the state designee, Name, Date, Title(6) Leave Blank: When agreement is final, a signed copy will be sent to the recipient organization
(5) Recipient Approval (6) Federal Approval
Signature Date Kimberly A. Locey, Director Date
Administrative Programs
Type Name and Title
State Designee
If there is a change in the state designee, please notify the Office of State Programs and the Division of Grants Management.
Award letters are addressed to the State Designee and it is critical that we are aware of any updates to these individuals.
SF 424 – Application for Assistance
Available on Grants.gov website: http://apply07.grants.gov/apply/forms/sample/SF424_2_1-V2.1.pdf
1. Type of Submission = Application
2. Type of Application
= New for initial application
= Revision for amendments
Select A. for Increase Award
or B. for Decrease Award
SF 424 – Continued
• Includes Dun & Bradstreet Data Universal Numbering System (DUNS) number
• Includes Tax Identification Number
• Any Changes in the DUNS or Tax ID numbers from the previous application should be reported to the Regional Office
SF 424 – Continued• Federal Award Identifier – To be assigned by OSHA at time of
award – (leave blank on SF 424 & OSHA 110 form)
SPXXXXXSPX
• DUNS number (Data universal numbering system) is a required number along with the Employer Identification Number for all applications.
SF 424 - Continued
Type of Applicant• A. State• I. State Controlled Institution of Higher Learning
SF 424 – Continued
• Catalog of Federal Domestic Assistance Number.
• Each program is assigned a unique CFDA number. ►17.503 - 23(g) State Plan
SF 424 – ContinuedWhat is Executive Order 123732?
• Executive Order 12372 - Intergovernmental review of Federal programs signed July 14, 1982 http://www.fws.gov/policy/library/rgeo12372.pdf
• States that participate are shown on this website. http://www.whitehouse.gov/omb/grants_spoc
SF 424A – Budget Information Nonconstruction Program
• SF 424 A http://apply07.grants.gov/apply/forms/sample/SF424A-V1.0.pdf
• Shows budget based on two major categories:
• Program• Administration
• Note: A third category must be included when one hundred percent State funds are used.
SF 424A – Continued
• For the 23(g) program, States may continue to use the previously required nine categories to complete the SF424A.
• general administration• safety inspections• health inspections• consultation and other voluntary programs• training and education• standards• management information systems• laboratories• review process and non-discrimination• or any others that better reflects the State’s actual
organizational structure.
SF 424A – Continued
Section A – Budget SummaryGrant Program Function or Activity(Column A)
1. Program2. Administration3. 100% State Funds
These same program functions will correspond to the column headings in Section B of SF424A.
SF 424A – Continued
Section A – Budget Summary (cont.)
• Catalog of Federal Domestic Assistance Number (Column B)
• 17.503 - 23(g) State Plan• Estimated Unobligated Funds
(Columns C & D)• Leave blank.
SF 424A – ContinuedSection A – Budget Summary (cont.)
• New or Revised BudgetFederal (Column E)
• Non-Federal (Column F)• Enter amounts based on matching requirements.• Total for Column E equals total Federal funding• Total for Column F equals total Non-Federal funding
• Total (Column G)• Add Columns E and F.
SF 424A – Continued
Section B – Budget Categories
• Column 1 – Break down by category of total amount on Row 1 of Section A – Budget Summary.
• Column 2 – Break down by category of total amount on Row 2 of Section A – Budget Summary.
• Column 3 – Break down by category of total amount on Row 3 of Section A – Budget Summary.
• Column 4 – Break down by category of total amount on Row 4 of Section A – Budget Summary.
• Column 5 – Add Columns 1 through 4. Bottom Line total (5K) must equal Bottom Line total in Section A (5G).
NOTE: Indirect charges are a part of Administration costs, not Program costs.
SF 424A – Continued
1. Program 2. Administration 3. 100% State Funds 4. 100% Federal Funds – 21(d) only
SF 424A – Continued
SF 424A – Continued
Section C – Non-Federal Resources• Shows non-Federal share of funds used to
support the program.
SF 424A – Continued
Section D – Forecasted Cash Needs• Shows a forecast by quarter of the
amounts needed for the year.• Separated by Federal and Non-Federal.
SF 424A – Continued
Section E – Budget Estimates of Federal Funds Needed for Balance of the Project.
• Shows projection of amounts needed for future years.
• OSHA’s programs are for a one-year funding period, and each year is treated as a new award.
• This section is not required to be completed.
Section F – Other Budget Information• Show total amount of direct charges and indirect
direct charges.
SF 424A – Budget Information
•Costs must be reasonable, allocable and allowable
• Relate to the grant/cooperative agreement terms & conditions
• Conform to any limitations or exclusions in agreement or in the OMB circulars on cost principles
• Is appropriate, sensible and rational
SF 424A – Budget Information- Continued
• Itemized by Object Classes:• Personnel• Fringe Benefits• Travel• Equipment• Supplies• Contractual• Construction• Other
SF 424A - Personnel
Personnel• Should correspond to the information
provided on the organization chart.• Instructions provides details on which
positions should be charged to program vs. administration.
• Include all supervisors above the 1st level under administration.
SF 424A – Fringe Benefits
Fringe Benefits• Costs include payments for retirement,
Social Security, workers' compensation, life insurance, medical insurance, etc. for those individuals included in the Personnel object class.
• Include the cost formula for each fringe benefit.
SF 424A - Travel
Travel• Travel-related costs for personnel on the
grant/cooperative agreement.
SF 424A - Equipment
Equipment• Includes the costs of equipment having a
useful life of more than one year and a unit acquisition cost of $5,000 or more
SF 424 A – 23(g) Computer Equipment Purchases
• All desktops and laptops that connect through OSHA must be configured with the OSHA image.
• Software that is not part of the OSHA standard image must be pre-approved prior to purchase and, once approved and received, must be approved for installation.
• This will ensure the software meets the requirements to run or operate OSHA Applications.
• All new computers must run the Microsoft 7 operating system.
• All computers with OSHA network connectivity must follow OSHA standard desktop image guidelines.
SF 424A - Supplies
Supplies• Includes the costs of materials other than
equipment as defined above.
• Please itemize and describe all supply costs.
SF 424A - Contractual
Contractual• Includes the costs of contracts with all
sources, whether non-state government, state government or private sources, for the provision of services.
• Recipients should identify the purpose of each contract, the contractor, if known, and the amount of the contract.
SF 424A - Construction
ConstructionDoes not apply to OSHA grant/cooperative
agreement programs.
CONSTRUCTION
SF 424A - Cost Items - ContinuedOtherIncludes items not included in other object class categories, such as• Equipment calibration and repair services for equipment• Miscellaneous costs including, but not limited to the
proportion of rent, utilities, communications, data processing, postage
• Freight, etc. associated with the grant/cooperative agreement• Subscriptions to safety and health journals• Training aids, instructional programs and promotional
materials• Laboratory sample analysis• Cell phones
SF 424A - Indirect Costs
• Indirect Costs:• Any costs that are not directly identified with a
single, final cost objective, but identified with two or more final cost objectives. These should be based on an approved indirect cost rate agreement for the grant period.
• Should be included under Administration and only based on an approved indirect cost rate agreement for the grant period.
SF 424A - Indirect Costs - Continued
DOL Division of Cost of Determinationhttp://www.dol.gov/oasam/programs/boc/costdeterminationguide/main.htm
Indirect Cost Negotiatorshttp://www.dol.gov/oasam/programs/boc/costdeterminationguide/app3.pdf
SF 424A - Indirect Costs - Continued
Indirect Cost Rate Agreement (ICRA)• Be sure that the rate is charged to the
proper year• Use the right base amount• Submit paperwork for the next rate in a
timely manner.
SF 424A - Direct Costs
Direct (Program) Cost are any cost that is specifically related to the program.
SF 424A - Program Income
• States that are collecting fees associated with grant activities should report the estimated amount of income expected to be generated from the grant on line 7 of the SF 424A. – States should include a narrative description of the program
income, including the nature and source of the income, in the grant application.
– The Program Income may be reflected as part of the State’s matching funds contribution.
– Program income must be reported on the Federal Financial Reports (SF 425) submitted each quarter in DOL E-Grants.
• Consists of all direct costs and indirect costs associated with the management and support of the Program.
• These costs include but are not limited to:– The salaries and fringe benefits of personnel
engaged in executive, fiscal, data collection, personnel, legal, audit, procurement, data processing, communications, maintenance, related materials, supplies, equipment and staff training.
SF 424A - Administrative Costs
No more than 25 percent of the total funding may be budgeted for administrative costs.
SF 424A - Administrative Costs - Continued
25% OR LESS
SF 424 A - Supportive Cost Breakout 23(g) State Plan
• Detailed financial information must be provided for the object class categories below using the Administration/Program budget categories or the categories used based on the State’s actual organizational structure.
• Personnel• Fringe Benefits• Equipment• Contractual• Other• Indirect Charges
SF 424A - Supportive Cost Breakout 23(g) State Plan - Continued
•Totals listed on the Supportive Cost Breakout must reconcile to the totals on the SF 424A.
•Template for Supportive Cost Breakout is in Appendix F.
SF 424A - 23(g) ExamplesShow Budget based on 2 major categories - Program and Administration. A third category must be included when 100% State funds are used.
Column G totals must match 6K totals
SF 424A - 23(g) Examples Continued
SF 424 & SF 424A – Examples Continued
6. Object Class Categories Administration Program Total
a. Personnel $ 150,553 $ 1,272,076 $ 1,422,629
b. Fringe $ 62,540 $ 528,420 $ 590,960
c. Travel $ 9,000 $ 123,980 $ 132,980
e. Equipment $ - $ 7,500 $ 7,500
d. Supplies $ 1,000 $ 11,000 $ 12,000
f. Contractual $ - $ 270,725 $ 270,725
g. Construction $ - $ - $ -
h. Other $ 11,500 $ 209,621 $ 221,121
i. Total Direct Charges (sum of 6a-6h) $ 234,593 $ 2,423,322 $ 2,657,915
j. Indirect Charges $ 256,085 N/A $ 256,085
k. Totals (sum of 6i & 6j) $ 490,678 $ 2,423,322 $ 2,914,000
SF 424
18. Estimated Funding ($)
a. Federal $ 1,457,000
b. Applicant $ -
c. State $ 1,457,000
d. Local Other $ -
e. Other -
f. Program Income -
g. TOTAL $ 2,914,000
SF 424 SF 424 A
The totals must match
SF 424A 23(g) & 110 – Examples Continued
For 23(g) these amounts must match the 424A and 110.The State Base Award Amount is equal to the Federal BaseAward Amount.
SF 424, SF424A &110 23(g) – ExampleThe amounts must match on the SF 424, SF 424A and 110.
SF 424
OSHA 110
SF 424A
23(g) Assurances & Certifications, Restrictions and Conditions
• See Appendix H.• Assurances and Certifications (including
Lobbying Certification) – provides that the state assures and certifies its compliance with government-wide rules and regulations
• 23(g) OSHA Restrictions and Conditions – provides that the state complies with OSHA-specific rules and regulations that govern the 23(g) grants.
23(g) MOA with Salt Lake Technical Center (SLTC)
• Appendix I• MOA Template to be completed by those
states that will exclusively use SLTC as their sample laboratory.
• Signed document submitted with grant application, but processed separately from grant award.
• FY 2013 MOA states - Alaska, Hawaii, Maryland, New Mexico, Puerto Rico, Vermont, and Virgin Islands
State/Private Laboratory Sample Analysis Information
• States without MOA provide:– Name and Address of each laboratory used for sample analysis
and the associated sample types– Funding amount for each lab/contract– Assurance that state will used labs rated proficient in American
Industrial Hygiene Association (AIHA) Proficiency Analytical Testing (PAT) program
– Estimate of Number of samples anticipated– Letter of permisison from each laboratory to be used for access
to AIHA-PAT identification number– In case of bulk asbestos only, accreditation under the National
Voluntary Laboratory Accreditation Program (NVLAP) through the National Institute of Standards and Technology (NIST) is an acceptable equivalent to AIHA-PAT proficiency.
Due Dates• States have from July 19th to August 15th of
each year to submit their annual applications electronically in Grants.gov. Regions should work with states to establish a deadline that allows the region to review applications before submission in Grants.gov.
• Regions have until August 22nd each year to submit the regional recommendation to the National Office.– Include any program or financial issues– Identify any areas of concern– Must be based on application submitted by state in
Grants.gov• By September 30th, the National Office
completes the award letters to the states.
Grants.gov
• States should not wait until the last minute to submit. Waiting until the last day could cause problems if the application is rejected and the state needs to resubmit.
• Most common error is a result of states not following the new filename requirements when uploading attachments in Grants.gov. (see Page 4 of instructions)
Other Financial Forms, Systems & Information
GRANTS.GOVSAM.GOV
LIMITED ACCESS
Limited Access Page
Most of the forms in the Appendices of the instructions are available on:
State Plan Limited Access Page -http://intranet.osha.gov/fso/LAP/fso/osp/SP_grants.html
Online Systems
There are several online systems that are used for your cooperative agreement:
1. System Award Management - (SAM) Registering the organization
2. Grants.gov - Applying for cooperative agreement award.
3. Payment Management System – (PMS) Accessing funds
4. DOL E-Grants - Submitting quarterly financial reports
Grants.gov - Continued
• All applications are submitted electronically via Grants.gov.
• The website to download the Grants.gov application package is: http://www.grants.gov/applicants/apply_for_grants.jsp.
• For 23(g) applicants, the Funding Opportunity Number is OSHA-23G-2014-001.
• The E-Business Point of Contact designates who is authorized to submit an application on behalf of an organization. Any changes have to be coordinated through your organization and on Grants.gov, not OSHA.
Grants.gov - Continued
• Submit only ONE application.
• Replacement pages cannot be submitted through Grants.gov.
• If revisions are needed after submitting through Grants.gov, the States must ensure the replacement pages are submitted to the Regions electronically via email or Fax
Grants.gov - Continued
• Grants.gov requires completion of forms SF 424 and SF 424A online.
• All other documents in the OSHA grant applications must be submitted as attachments.
• Acceptable formats for document attachments are Microsoft Office and Adobe Reader. The preferred method to scan all documents into one Adobe Reader (PDF) file and attach it to the application.
Grants.gov – Continued
BEWARE - No one likes to get rejected!
Attachment Filename Characters are now Validated and Enforced:• Applicants are now limited to using the following characters in all
attachment file names. • Valid file names may only include the following UTF-8 characters:
A-Z, a-z, 0-9, underscore ( _ ), hyphen (-), space, period.
• If applicants use any other characters when naming their attachment files their applications will be rejected.
Grants.gov - Continued
Helpdesk
E-mail: [email protected]
Telephone: 1-800-518-GRANTS (4726)
24 Hour Self-help Web Portal (iPortal): www.grants.gov/iportal
System Award Management
Website
www.SAM.GOV
• Annual renewal of the SAM registration is required.
• To verify expiration go to www.sam.gov, click on search, enter DUNS number and click search.
• Outdated registrations will prevent entities from submitting applications and from receiving funds in the Payment Management System.
System Award Management - Continued
Contacts - Help
System Telephone Email or Website Help
DOL E-Grants 202-693-2682 [email protected]
Grants.gov 800-518-4726 [email protected]
SAM.gov 866-606-8220 http://www.FSD.gov
PMS 877-614-5533 [email protected]
Division of Grants Management
202-693-1919 [email protected]
Office of State Programs
202-693-2244 [email protected]