stipda and cdc core state injury grantee meeting grants management · 2018-04-14 · hhs aagam cite...

Centers for Disease Control and Prevention (CDC)

STIPDA AND CDC CORE STATE INJURY GRANTEE MEETING

Grants Management

APRIL 23, 2008

Mildred S. Garner

Lead Grants Management Officer

CDC Procurement and Grants office

2920 Brandywine Road

Atlanta, Georgia 30341

Telephone: (770) 488-2745

Email: [email protected]

PGO OD

Director-Alan Kotch

(Acting) Deputy Director-Elmira BensonOffice of Policy,

Oversight &

Evaluation

Sylvia Dawson, Chief

Materials Mgmt Activity

Melissa Campbell

Administrative Support

ITPMO

Terrance Perry, Chief

Coordinating Center

for

Infectious Diseases

Branch II

NCPDID &

NCZVED,

NCIRD Ed Schultz

Branch I

NCHHSTP Cheryl

Maddux

Coordinating

Center for

Health

Promotion

Branch III

NCBDDD,

NCCDPHP,

and OGDP William Ryan

Coordinating

Office for

Global

Health

Coordinating

Office

Terrorism

Preparedness

And

Emergency

Response

Coordinating

Center

For Health

Information

and Service

Branch VI

NCHM, NCHS, NC PHI

and COTPER Jeff Napier

CDC-OD

OSI, OCSO,

OCPHP, OEC,

OWCD, OCOS,

CDC-W, OCOO

Branch VIII

CDC-OD Dale DeFilipps

Coordinating

Center for

Environmental

Health and

Injury

Prevention

Branch IV

NCEH/

ATSDR, NCIPC Carla Harper

National

Institute for

Occupational

Safety &

Health

Branch V

NIOSH

(Field) Robin Solow

Branch VII

COGH Sherry

Smallwood

Organization Chart

Procurements and Grants Office (PGO)

Building

and Facilities

Office

Buildings &

Facilities

Contracts

BranchDale DeFilipps

Grants ManagementDiscussion Topics

1. Health Impact Planning

2. Roles and Responsibilities

a. Grants Management Officer (GMO)

b. Grants Management Specialist (GMS)

c. Project Officer (PO)

d. Procurement and Grants Office (PGO)

3. Funding Opportunity Announcement

a. Flowchart

b. Timeline for Submission

c. Definition of Responsiveness

5. Understanding Notice of Award

6. Proposed Budget and Justification

7. Prior Approval Requirements

a. Carryover of Unobligated Dollars

b. Redirection of Funds

c. Change in Key Personnel

d. Change of Organization

e. Financial Status Report (FSR)

8. Useful Websites

9. PGO Grants Advisory Notice

Health Impact Planning� Embodies a life cycle from pre-planning among

internal organizations to the execution of the work

and identification of results

� Requires the coordination of several organizations� Terrorism Preparedness and Emergency Response planning

and review (COTPER)

� Acquisition and Assistance Forecasting (PGO)

� Fiscal spending plans (FMO)

� Health Disparities addressed by CDC (OMHD)

� Coordinating Office for Global Health (COGH)

� National Health Protection Goal Alignment (OSI)

� Portfolio Management Program (PMP)

Health

Impact

Planning

Goals

Budget

CDC’s Mission

CDC’s Resource Constraint

Achievements

Lessons Learned

Gaps in Target Areas

Organizational Visibility

Public Health Results

Health Impact Planning

Benefits of HealthImpact.net� To Program:

� Leverage a historical knowledge base � Collaborate with others by leveraging transparency � Foster greater integration of projects � Experience enhanced project management � Integrates many agency data calls� Actively support CDC’s Health Protection Goals

� To Leadership:� Ability to aggregate what is happening at the ground level to

ensure alignment with CDC goals� CDC can comply with OMB budget transparency regulation� Strategic view of the agency as a whole

How is HI.net being used?� Project/program leads are using HealthImpact.net to track and make

comparisons between projects. They are comparing their performance with regard to milestones achieved on a quarterly basis, budget expenditures, etc. This provides an incentive to each project to identify strengths and weaknesses.

� Organizations are using HealthImpact.net to see what other offices across the agency are doing in similar areas to identify synergies and leverage resources.

� Branch Chiefs are using HealthImpact.net to encourage successful, on-time milestone completion, which is increasing accountability.

� New staff and leadership are using HealthImpact.net as a “one stop shop” to learn what their organizations are doing and responsible for.

Roles & Responsibilities

� Grants Management Officer (GMO) – sole approving official authorized to obligate funds for grant and cooperative agreement actions on behalf of the Government

� Grants Management Specialist (GMS) - primary point of contact for all business management, funding, and regulatory/policy issues regarding a grant; receives and processes all official requests


� Project Officer (PO) - Defines programmatic objectives, provides advice on the scientific/technical/programmatic suitability of applications for funding, and provides expertise in the post-award administration of projects and activities

� The PO/Program Office and GMS/PGO work as a team to manage each grant or cooperative agreement


� The Procurement and Grants Office (PGO) is the Business conduit for all Program Requirements

� Negotiate, award, administer, and close out all Grants and Cooperative Agreements

� Review and approve all financial requests and payments

� Ensure compliance with applicable Statutes, Regulations and Policies

� Serves as the Official Receipt Office for ALL official communications and contacts with Recipients

Designation of High Risk

� History of unsatisfactory performance

� Not financially stable

� Management systems do not meet standards set out in Code of Federal Regulations, Part 92

� Has not conformed to terms and conditions of the award

� Is otherwise not responsible

Roles and Responsibilities

Notice of Award (NOA) Key Fields

� Block 2 – CFDA number

� Block 4 – Notice of Award Number/Grant #� Always reference with the submission of any and all documentation

(03-1 – Third Year First Amendment)

� Block 6 – Project Period� Duration of overall program (1 yr – 5 yrs)

� Block 7 – Budget Year/Period� Only one year, specific to current years budget only

� Block 11 – Approved Budget� Results from budget discussions, negotiations. This is what we

monitor to ensure that funds are being spent IAW plan

Funding Opportunity Announcement (FOA)

� Definition of Responsiveness

HHS AAGAM cite 2.03.103-4C “…A responsiveness criterion is one that results in a decision to accept or not accept an application for review (“go/no go”) and that must be applied equally to all applicants and applications.”

HHS AAGAM cite 2.03-4E.1 “…If a program office wants to require that otherwise eligible organizations meet an objective criterion, such as having a certain credential or having had another type of award… the criterion may be applied as a “go-no go” factor (if any person can screen for the presence of the criterion) or as AN EVALUATION FACTOR (if the presence or absence of the criterion CAN BE DETERMINED ONLY AFTER REVIEW OF AN APPLICATION.

HHS AAGAM cite 2.03.103-4L “…Any responsiveness criteria that will be applied before accepting an application for review should be objective (e.g. dollar value, use of specified treatment modalities or patient populations).”

NOA Key Fields

� Block 12 – Award Computation for Financial Assistance� **New money, carryovers, reflected here***

� Block 15 – Program Income� Deduction� Additional Cost� Matching

� The FINE PRINT� Regulatory Guidance – Order of Precedence

� PHS Grants Management Officer� If it is not signed, it is not legal

Order Of Precedence(The Fine Print)

� Order of Precedence

� A. Grant Program Legislation

� B. Grant Program Regulation

� C. Award Notice Including the terms and conditions

� D. PHS Grants Policy Statement including addenda in effect as ofthe beginning of the budget period

� E. 45 CFR Part 74 OR 45 CFR Part 92 as applicable

� Acceptance - when funds are drawn or otherwise obtained from the grant payment system

Budget Elements of Cost

� Salaries and Wages

� Fringe Benefits

� Consultant/Contractural

� Costs

� Equipment

� Supplies

� Travel

� Other Costs

� Indirect Costs

� Salaries and Wages

� Name of Staff member

� Annual Salary

� Percentage of time budgeted for the program

� Total months of salary budgeted

� Total Salary requested

� Justification for position

Itemized Budget & Justification

If the position has not been filled, indicate a

realistic date to avoid unobligated funds.

**


� Fringe Benefits

� Applicable to Direct Salaries and Wages

� Provide information on rate used

� If no rate – itemize how calculated


� Consultant Costs – Written approval required

� Name

� Organization affiliation

� Services to be provided

� Relevance to Project

� Number of Days of Consultation

� Expected Rate of Compensation. If unknown, submit for approval later as a budget revision

� Method of Accountability


� Equipment

� Provide justification for each item

� Relate to specific program objectives

� List maintenance or rental fees for equipment in “Other”

� Dollar value of equipment is defined by IDC


� Supplies

� List each item requested

� Provide justification – relate to program objs

� Include unit cost, number needed, total

� General officer supplies – estimate by month, use historical data to determine rate of usage


(Specify Type)


� Travel

� Staff travel only

� In state – justification for staff member travel - who, where, number of trips, approximate dates, mileage costs, estimated airfare, per diem

� Out of state – same as above; meetings, conferences, workshops


� Contractual

� Written approval required

� Must include:

� Name of Contractor

� Method of Selection

� Period of Performance

� Scope of Work

� Method of Accountability

� Itemized Budget and Justification


� Indirect Costs� Must have a CURRENT approved indirect cost rate

agreement (IDC) or cost allocation plan

� IDC must be provided with the application

� Must be consistent with accounting practices

� Indirect costs can not be awarded without an approved/negotiated rate

� Budget Guidelines http://www.cdc.gov/od/pgo/funding/budgetguide.htm


Post Award Prior Approval Reqm’t

� Change in scope (post-award)

� Changes in principal investigator (PI), project director (PD) or other key personnel specified in NoA

� Change of grantee organization (Bona Fide agent)

� Need for additional funds with or without an extended period of performance

� No cost extension - for additional time to spend awarded funds

� Carryover of unobligated funds

� Redirection of funds or revised budget

� Release of funding restrictions

Carryover of Unobligated Dollars

� Unobligated dollars from the previous budget period can be requested for use in the next budget period. Requests must include:

� Current FSR indicating an unobligated balance

� Reason for unobligated funds from prior year

� Justification of bona fide need for current year

� How funds will enhance current activities

� Detailed line item budget

� Timeline/period of performance for proposed activities

� Signature of project director, principal investigator, and authorized business office official

� Unobligated dollars that are carried over to the next budget period can only be used to pay for activities which will be completed within that specific budget period

� All requests for carryover require prior approval by GMO


Redirection of Awarded Funds

� Redirection is the movement or shifting of funds from one approved budget category to another

� Authorized unilaterally up to 25% or $250,000 of budget - whichever is less (copy PGO)

� Significant Rebudgeting

� Cumulative Transfers exceeding 25% of the approved budget for the budget period or $250,000, whichever is less

� Quantitative Indicator of Change in scope

� A detailed budget and narrative justification must be submitted

� Signature of project director, principal investigator, andauthorized business office official

Redirection of Awarded Funds

Change in Key Personnel

� When any individual listed in the Notice of Award as key personnel (new project director/principal investigator, Business Official) is proposed, an official notification of this change must be sent to the GMS.

� The request should include the following:

� Cover letter, Director of DoH and business office

� All contact information for new PI, including email

� A copy of the new PI’s resume

Financial Status Reports(FSR) SF269

� The FSR is submitted annually

� Interim FSRs may be submitted with the Interim Progress Report

� The FSR documents expenditures according to the official accounting records of the recipient organization

� FSR must be submitted for each budget period no later than 90 days after the close of the budget period.

Financial Status ReportsSF269

� Final FSR must not include unliquidated obligations

� Recipients have 90 days from end of budget period to liquidate

� FSR must indicate the exact balance of unobligated funds

� Negative FSRs are not acceptable

� Total funds authorized must match approved federal share from Notice of Award

� Original, signed FSR must be submitted to the GMO - Attn: GMS

Useful Websites

Forms:http://www.whitehouse.gov/omb/grants/grants_forms.html

OMB Circulars: http://www.whitehouse.gov/omb/circulars/

OMB Circular A-21 -

Cost Principles for

Educational Institutions

OMB Circular A-110 -

Uniform Administrative

Requirements for Grants

and Other Agreements

with Institutions of

Higher Education,

Hospitals, and Other

Nonprofit Organizations


Cost Principles for

Nonprofit Organizations


Audits of States, Local

Governments, and Non-

Profit Organizations

(06/24/1997, includes

revisions published in

Federal Register

06/27/03)

Useful Websites

PGO Oversight & Evaluation

� A-133 Audits

� Single Audit – One audit of ALL Grants held

� $500k EXPENDED

� Due 9 months from end of YOUR fiscal year

� Common Problem Areas:

� Documentation for expenditures, clients eligibility or services rendered

� Monitoring of Sub-recipient – Cost cutoff, A-133 for over threshold, State must roll up financial reporting

� Vendor selection & documentation (State & Fed standards) –documentation of compliance (bids, value, $100K threshold. etc.)

CONTACT INFORMATION

Mildred S. GarnerLead Grants Management Officer (GMO)CDC/Procurement and Grants Office (PGO), Branch IV2920 Brandywine RoadAtlanta, Georgia 30341Email: [email protected]: (770) 488-2745

Team Members:

Gladys Gissentanna, GMOTracey Coleman, GMOLaKasa Wyatt, GMSTerrain Dixon, GMSPamela Render, GMSLisa Williams, GMSBrownie Anderson-Rana, Administrative Support/Contractor

stipda and cdc core state injury grantee meeting grants management · 2018-04-14 · hhs aagam cite...

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