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    Presentation (PPT 836KB) Presentation (PPT 836KB) Presentation Transcript

    • Administrative & Fiscal Requirements for Grantees Peter Thompson Grants Management Officer Lisa Dammar Grants Management Specialist Darnette Harrison Grants Management Specialist
    • Topics
      • Office of Grants Management Roles and Responsibilities
      • Grant Award Packages
      • Reporting Requirements
      • Key Regulations and Administrative References
      • Budget Modifications / Continuations / Carryovers / Extensions
      • Web Sites
      • Grants Management Contacts
      • Open Discussion & Questions
    • Office Of Grants Management
      • Negotiates and issues all mandatory and discretionary grant awards for the Administration for Children and Families.
      • Complements technical knowledge of the program office with expertise in business and other non-programmatic areas of grants administration.
    • Office Of Grants Management…
      • Monitors and guarantees the integrity of the competitive process.
      • Serves as the official receipt point for all official communications and contacts with grantees which commit or may result in committing the grant budget, or changing terms and conditions of the grant (that could impact the scope or objectives of the grant) rebudgeting or for specific types of cost.
    • Office Of Grants Management…
      • Serves as the official receipt point for all required reports from the grantees .
        • Copies should be sent to the Program Office.
        • Reports should be submitted unbounded
      • Assures that both program office and grantees fulfill all requirements of laws, regulations and policies.
    • Grant Award Package
      • Financial Assistance Award (FAA)
      • Transmittal Letter
      • Standard Terms and Conditions
      • Reporting Requirements
      • Financial Status Report Form (SF 269)
      • Instructions for Requesting Payment of Federal Awards
      • All recipients of ACF discretionary grants and cooperative agreements are legally bound by the standard terms and conditions.
      • Based on Statutes, Regulations and Policies.
      Standard Terms and Conditions
    • Financial Reporting Requirements
      • Financial Status Reports (SF-269's) are due 30 days after the end of the second and fourth quarters of the budget period (every six months).
        • Start date: 9/30
          • Budget Period: 9/30-9/29
          • 1st Report: Due 4/30 (covers 9/30-3/31)
          • 2nd Report: Due 10/31 (covers 4/1-9/29)
        • Start Date: 7/1
          • Budget Period: 7/1-6/30
          • 1st Report:  Due1/31 (covers 7/1-12/31)
          • 2nd Report: Due 7/31 (covers 1/1-6/30)
      • A final SF-269 is due 90 days after the end of the three year project period. This financial status report and the Payment Management System (PMS) expenditures report for the reporting period must reconcile. For the report to be considered final, all unliquidated obligations must have been paid and $-0- entered on line 10(k) of the final Financial Status Report.
      • The Federal Grant Award number should be indicated on all reports.
    • Submit the original and two copies of the Financial Status Reports to:
      • Mailing Address
      • Attention: [Name of Grants Management Specialist]
      • U.S. Department of Health and Human Services
      • Administration for Children and Families
      • Office of Grants Management
      • Division of Discretionary Grants
      • 6 th Floor West
      • 370 L'Enfant Promenade, S.W.
      • Washington, D.C. 20447
    • Financial Status Report ( Standard Form 269)
    • Program Progress Reports
      • Program Progress Reports are due 30 days after the end of the second and fourth quarters of the budget period (every six months).
      • A final Program Progress Report is due 90 days after the end of the project period.
    • Program Progress Reports – Content
      • Status of Project
      • Status of Meeting Goals
      • Problems Encountered and Plans for Resolving Them
      • Personnel Changes
      • Financial Management
    • OMB Circulars and Federal Regulations
      • Title 45 Code of Federal Regulations (CFR) Part 74
      • Office of Management and Budget (OMB) Circulars
        • A-110
        • A-122
        • A-133
    • Title 45 Code of Federal Regulations Part 74
      • Uniform Administrative Requirements for Awards and Subawards to Institutions of Higher Education, Hospitals, Other Non-Profit Organizations and Commercial Organizations; and Certain Grants and Agreements with States, Local Governments and Indian Tribal Governments.
    • Title 45 CFR Part 74 Reference Guide
      • Standards for financial management systems - 74.21
      • Revision of budget and program plans - 74.25
      • One Time Extension - 74.25d(2)(I)
      • Property standards - 74.30
      • Insurance coverage - 74.31
      • Real property - 74.32
      • Equipment - 74.34
      • Procurement standards - 74.40
      • Contract administration - 74.47
      • Financial reporting - 74.52
      • Retention and access requirements for records - 74.53
      • Closeout procedures - 74.71
    • 74.51 - Monitoring and Reporting Program Performance
      • (a) Recipients are responsible for managing each project, program and subaward supported by the award and must ensure subawards meet the audit requirements as outlined in 45CFR74.26.
      • (b) The awarding agency will prescribe the frequency with which the performance reports shall be submitted .
        • Reporting Requirements - Semi Annual
        • Financial Status Report - (SF-269)
        • Program Progress Report - (PPR)
    • Office of Management and Budget (OMB) Circulars
        • A 110 - Uniform Administrative Requirements for Grants and other agreements with Institutions of Higher Education, Hospitals and other Non Profit Organization
        • A 122 - Cost Principles for non profit organizations
        • A 133 - Audits for States, Local, Governments, and non profit organizations
    • A-110 Uniform Administrative Requirements
      • This Circular sets forth standards for obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
      • These principles and guidelines are used by all federal agencies in determining the costs of work preformed by non profit organizations under grants, cooperative agreement and contracts
        • allowable costs
        • allocable
        • reasonable
        • necessary
      A-122- Cost Principles for Non Profit Organizations
    • Audits Information OMB Circular - A-133
      • Non-federal entities that expend $500,000 or more in a year shall be audited.
        • $500,000 is from all Federal sources
      • Frequency of audits - Annual basis
      • Submission - 9 months after your audit period.
          • Single Audit Clearinghouse
          • Bureau of the Census
          • 1201 E. 10th Street
          • Jeffersonville, IN 47132
    • Special Assurances
      • Grantee assures that the project will not expend federal funds for sectarian instruction, worship, prayer or proselytization.
      • Grantee further assures that any education regarding sexual conduct or provision of services besides abstinence will be conducted in a different setting if applicable.
    • Budget Modifications
      • Report any modifications of the budget and program activities as outlined in the original application.
      • Written prior approval is necessary for:
        • Extension of budget and or project period.
        • Change in scope of work or objectives of the project (even if the budget does not change)
        • Change in the Project Director (PD) or Principle Investigator (PI) or other key personnel specified in the grant application
        • Absence for more than 3 months or 25% reduction in time devoted to the project by the PD, or PI.
        • Foreign Travel
        • Transfer of Training Funds
        • Same rules apply to sub-grantees!
    • Budget Revisions
      • Cover Letter Signed by Authorizing Official
        • Provide the amount of the request. If you are writing to inform ACF of a budget revision that does not require prior approval, clearly indicate that the funds will be used to complete activities which have already been approved. If you are writing to request a budget revision that includes a change in scope of activities, clearly indicate the proposed activities. Requests must be initiated prior to the end of the budget period for which you are requesting the revision.
      • 424a – Complete the form in its entirety, giving special attention to the following:
        • Section A columns a, b, e, f, g
        • Section B columns 1 (federal), 2 (non-federal), and 5 (total)
      • Budget and Budget Narrative:
        • The Budget should be in a spreadsheet or table format. Both the federal and non-federal budget items should be clearly marked. When making your budget, reflect the budget categories outlined in the 424a (i.e. Personnel, Benefits, Travel, Equipment, Supplies, Contractual, Other, Indirect Costs) and identify all line items within each category. Be specific and comprehensive.
        • The Budget Narrative is a justification supporting the need to expend funds for items in your spreadsheet or table format budget. It should provide a clear description of how the budget items directly relate to the overall completion and success of the project.
    • Continuations
      • What needs to be submitted:
      • SF-424 Application for Federal Assistance
      • SF-424A Budget Information – Non-Construction Programs
      • SF-424B Assurances – Non-Construction Programs
      • Lobbying Certification – If Applicable
      • Program Narrative
      • Budget Justification / Narrative
      • Outstanding Program and Financial Reports
    • Checklist for Continuation Applications
      • SF-424 Application for Federal Assistance
        • Make sure grant award number is listed in the “Federal Identifier” block. Grant award number can be found in the upper right corner of the enclosed letter.
        • Make sure “Applicant Information” is current and accurate, including DUNS number. Project contact should be the person responsible for the day-to-day operations and overall success of the project.
        • Check “continuation” in Block 8. Indicate in Block 16 whether or not your continuation application was reviewed in accordance with the intergovernmental review process.
        • Block 15 must include your federal funding and non-federal sources of funding.
        • Make sure the entire form is completed, signed, and dated.
      • SF-424A Budget Information – Non-Construction Programs
        • In Section A, column (e) – indicate federal costs in each applicable object class category. In column (f) indicate non-federal costs in each applicable object class category. In column (g) indicate the total.
        • In Section F, Line 22, state the type of indirect cost rate (e.g., provisional, fixed, etc) and provide computation (i.e., base X rate = total indirect expense).
      • SF-424B Assurances – Non-Construction Programs
        • Make sure the form is signed and dated.
      • Lobbying Certification
        • If applicable, make sure the form is signed.
        • If not applicable , indicate not applicable on form and return with package.
    • Carryovers
      • Must be used to complete unmet objectives from the previous year.
        • No new activities.
      • Requests should be submitted with the SF-269 due 30 days after the end of the previous budget period.
        • However, no limitations exist on when requests can come in.
        • Reasonableness.
    • Carry Over Requests – FY 2005
      • Cover Letter
        • Provide the amount of the requested carryover. Include unexpended federal funds as well as any non-federal matching funds that were not committed during the budget year.  Only include the amount you are requesting, do not include your third year budget amount.  Also, clearly indicate that the funds will be used to complete activities which were approved, but not completed by midnight on September 29, 2005, as allocated in the final budget of record for the budget period September 30, 2004 – September 29, 2005.
      • 424 – Complete the form in its entirety, giving special attention to the following:
        • Include the Federal Identifier, which is your grant number.
        • The name of the person to be contacted on matters involving this application should be the person responsible for the day-to-day operation of the project.
        • Select Revision as the Type of Application (#8).
        • Complete the Federal, Applicant, and Total Funding figures (#15).
        • Provide the original signature of the Authorized Representative (#18d).
      • 424a – Complete the form in its entirety, giving special attention to the following:
        • Including only the carryover request only
        • Section A columns a, b, e, f, g
        • Section B columns 1 (federal), 2 (non-federal), and 5 (total)
      • Budget and Budget Narrative:
        • The Budget should be in a spreadsheet or table format. Both the federal and non-federal budget items should be clearly marked. When making your budget, reflect the budget categories outlined in the 424a (i.e. Personnel, Benefits, Travel, Equipment, Supplies, Contractual, Other, Indirect Costs) and identify all line items within each category. Be specific and comprehensive.
          • The Budget Narrative is a justification supporting the need to allocate funds for items in your spreadsheet or table format budget. It should provide a clear description of how the budget items directly relate to the overall success of the project.
    • No-cost Extensions
      • Normally requested to complete activities of the grant.
      • Requests must be in prior to the end of the Project Period.
      • No Cost Extensions are not permitted t o merely use unobligated balances.
      • Are one time extensions of the expiration date up to 12 months.
      • You must provide a “ letter of justification ” providing us with the time needed for the No Cost Extension signed by the authorized official (person who signed 424 )
      • May not permit any budget changes in a recipient’s award that caused any FEDERAL APPROPRIATION to be used for purposes other than those consistent with the original award/purpose of the authorization and appropriation.
      • Can run concurrently with “new” awards
        • Must maintain separate accounting
    •  
    •  
    •  
    • Payment Management System (PMS)
      • Was developed for the purpose of creating a central system that is capable of paying most Federal assistance grants, block grants, and contracts. The main purpose of this system is to serve as the fiscal intermediary between awarding agencies and the recipients of grants and some types of contracts, with particular emphasis on:
        • Expediting the flow of cash between the Federal government and recipients;
        • Transmitting recipient disbursement data back to the awarding agencies; and
        • Managing cash flow advances to grant recipients.
    • PMS Responsibilities
      • Awarding agencies are responsible for:
        • Registering recipients (DPM personnel perform this function for cross-serviced agencies),
        • Issuing award notices,
        • Inputting authorization data into the Payment Management System,
        • Monitoring programs and grants,
        • Closing out awards, and
        • Reconciling their accounting records to the Payment Management System Information.
      • Recipients are responsible for:
        • Executing grants,
        • Maintaining minimum federal cash on hand by requesting funds from the Payment Management System only for immediate disbursement,
        • Reporting cash disbursements to the Payment Management System, and
        • Maintaining their own accounting records.
      • DPM personnel are responsible for:
        • Operating the Payment Management System,
        • Making payments to recipients,
        • Managing cash flow to recipients,
        • Performing payee/recipient account management,
        • Maintaining user/recipient liaison,
        • Reporting disbursement data to awarding agencies,
        • Debt collection. ,
        • Maintaining security, and
        • Providing Help Desk support.
    •  
    • Grants Management Contacts
      • The Grants Management Specialist identified on your FAA should be called on all financial and non-programmatic aspects of the Grants.
      • 90AE0001 – 90AE0103 – Lisa Dammar 202-205-8821
      • 90AE0104 – 90AE0123 – Darnette Harrison – 202-401-7231
      • 90AE0124 – 90AE0143 – Lisa Ensley – 202-260-5623
    • Questions and answers… Thank You!