Grant Modifications - Veronica Pelt-Hawkins, Transportation Program Specialist, FTA Region II

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From the New York Public Transit Industry 2010 Fall Conference & Trade Show.

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  • At times, it may be necessary to modify a grant after it has been awarded by revising the budget or amending the grant. The grantee is responsible for controlling and monitoring all grant activities to ensure that they are carried out in accordance with the approved budget.
  • If an ALI is added to an existing scope, the budget revision may be sent to the Department of Labor (DOL) for informational purposes but the labor protection arrangements for the original grant will apply to any modifications without further DOL certification.
  • For a complete list, please see Circular 5010.1D (Grant Management Requirements)
    Also, changing from 80/20 to 83/17 to account for compliance with ADA and CAA requirements.
  • ALIs are a subset of scopes.
  • Grant Modifications - Veronica Pelt-Hawkins, Transportation Program Specialist, FTA Region II

    1. 1. Grant Modifications There are three ways to modify a grant after it has been awarded: • Budget Revision • Administrative Amendment • Grant Amendment
    2. 2. Budget Revision • Budget revisions may be made as long as there is no change in the grant purpose, scope codes, and Federal funding of the grant. • Budget revisions are generally changes to ALIs’ amounts or descriptions. • Budget revisions must be consistent with the activities contained in an approved TIP and STIP and satisfy NEPA requirements.
    3. 3. Budget Revision (Con’d) • A grantee may request a budget revision either before or after incurring costs, depending on the nature of the request. • There are instances where a grantee needs FTA approval for Budget Revisions prior to incurring costs.
    4. 4. Examples of Budget Revisions that Require Prior FTA Approval (a) The change in the cumulative amount of funds allocated to each scope from the originally approved scope exceeds 20 percent. (b) Federal funds are transferred between ALIs with different Federal matching ratios, such as moving funds from a capital activity (80/20) to an operating activity (50/50).
    5. 5. Budget Revisions that Require Prior Approval (Con’d) (c) The addition or deletion of an ALI to an existing scope included in the grant, provided that the request does not change the amount of Federal funds awarded in the original grant or change the scope of the project contained in the grant.
    6. 6. Budget Revision (Con’d) Procedures for entering budget revisions in TEAM • Under Project Management, a grantee should select the “Revise Project Budget” tab. • Budget revision requests must include a reason for the revision. • For each ALI being revised, a brief explanation to the project or grant in the “Details” section must be entered. Because my boss said so is not a good reason
    7. 7. Budget Revision Screen in TEAM
    8. 8. Budget Revision Screen in TEAM
    9. 9. Budget Revision Screen in TEAM
    10. 10. Administrative Amendment • Is usually initiated by FTA to change or clarify the terms, conditions, or provisions of a Grant Agreement. • Also used to change the year or type of funds obligated for a grant. • Transfer equipment from one grantee to another. • To reflect a change in the grantee or grantee’s name.
    11. 11. Administrative Amendment , Con’d • To deobligate Federal funds that are no longer needed to complete the approved project scope or purpose.
    12. 12. Grant Amendment • Is required when there is either a change in the scope or an addition of Federal funds to an existing grant. • Subject to the same application requirements as a new grant request. • Subject to DOL certification.

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