Grants Processing, Award, Administration, & Closeout

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Grants Processing, Award, Administration,
Closeout
OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• Marcus Carpenter, Kathleen Monahan, Dennis
  Hadrick, Georgia Hubert (OPE)
• November 6, 2007

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• GRANTS PROCESSING AND AWARD
• Executive Summary
• Technical Proposals
• Budget and SF424s
• Statement Of Work
• Payment Management And Problems
• Full Funding Vs Incremental Funding
• Electronic Signature
• Pre-award Costs

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• EXECUTIVE SUMMARY
• Follow standard format provided
• Complete AFTER the proposal has been prepared
• Succinctly describe
• The Problem
• The Goals and Expected Results (indicate which
  are to be funded with USG funds)
• If specific to an HMA country, then must address
  at least one goal in PM/WRA country plan
• For each Objectives list the target population
  and time period required to satisfy it

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• TECHNICAL PROPOSAL
• Establish credibility (for new grantees)
• Problem Statement
• Identify problems - be clear, concise and
  well-supported
• List beneficiaries, social costs, and economic
  costs
• Provide specific approach to providing solution
• Desired Outcome
• Provide program measurable and verifiable
  objectives
• For HMA, must address goals from existing
  national mine action program
• Program Design
• Be concise - use annexes for backup
• Be thorough - money or scope may be subject to
  negotiations later
• Inputs - activities to occur with related
  resources
• Throughputs - interrelated parts, personnel,
  facilities, transportation and support services
• Outputs Measurable results

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• BUDGET
• Submit complete, detailed itemized budget
• Submit narrative that includes
• Familiarity with USG and PM/WRA reporting
  requirements
• Financial plan/description of accounting for
  funds
• Procedures for transferring funds to partner NGOs
  
• Plan for obtaining any non-USG funds
• PM/WRA provided costs should be identified in
  break outs
• Budget should correspond with more general SF424s

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• SF424s
• Three set package of SF 424s
• SF 424 Application for Federal Assistance
• Add grant number if known in upper right corner
• Leave Blocks 10, 14, 16 blank
• Remember to include Block 13 (Period of
  Performance)
• SF 424A Budget
• Section B, Block 6K MUST equal the amount
  approved for the grant
• Draw downs must correspond to info in Sections D
  and E
• SF 424B Assurances that you will comply with
  the terms of the Grant other Government
  requirements
• Have the legal authority to enter into a grant
• Government access to your records and properly
  account for funds
• Will complete the grants within the appropriate
  period
• No other forms required (Lobbying Cert Not
  Required)

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• STATEMENT OF WORK
• Based on Grantee proposal incorporated by
  reference
• Intended to highlight
• Goal(s)
• Objectives
• Outcomes
• Written by the GOR
• Emphasis on quantitative, measurable reporting
  data
• Negotiated between the GOR and Grantee
• Located in Attachment A (last page to grant
  document)
• Should not include PoP or other Terms
  Conditions in order to reduce redundancy

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• OTHER
• Payment Management and Draw Down of Funds
• Approval process (Angela Jeffries)
• Resolving problems (Tonja Thomas)
• Full funding vs. Incremental funding
• Full funding is preferred
• Incremental funding used when appropriate
• Electronic Signature
• Emphasis on e-mail and paper reduction
• Legally binding
• Pre-Award Costs
• Must be a bona fide need
• No more than 90 days prior to signature
• Funding must be approved by Congress
• Only Grants Officer can authorize it

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• GRANTS ADMINISTRATION
• Terms and Conditions
• Reports (Progress and Financial)
• Poor Performance
• Modification Including No Cost Extension
• Realignment of Budget
• Transfer of Assets/Equipment
• Expired Grants

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• TERMS AND CONDITIONS
• Standardized for all grantees
• Changes for future include formats for both
  domestic and international NGOs
• Public International Organizations (PIO) have
  unique forms and special provisions
• Key Provisions
• III. Grants Officer
• IV. Grants Officer Representative
• V. Budget (taken from SF 424A)
• VI. Period of Performance agreed between
  Grants Officer Representative and Grantee
• XI. Pre Award Costs (if approved)
• Attachment A Statement of Work, written by
  Grants Officer Representative and negotiated with
  Grantee

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• REPORTS PROGRESS AND FINANCIAL
• Financial, Property, Purchasing Records must be
  kept for 3 years
• USG has right to access grantee records
• Minimum requirement - quarterly reporting
• Types
• Financial - also required to drawn down funds
• Progress to ensure meeting grant objectives
• Format 1-4 pages aligned with SOW requirements
• Sent to Grants Officer Representative (GOR)
• PIOs
• Not subject to OMB Circulars reference to U.S.
  laws and OMB circulars self deleting
• Still required to submit quarterly reports per
  Provision XXXV

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• POOR PERFORMANCE
• Consistent late requests for no cost extensions
  (NCE)
• Reporting Problems
• Late Submissions
• Incomplete Reports
• Inaccurate Results
• Failure to adhere to SOW and Terms Conditions
• Consequences
• Postpone grant actions until remedied
• Withhold grant funds
• Suspend the grant or terminate if not cured
• Designation as High Risk

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• TRANSFER OF ASSETS/EQUIPMENT
• Grantees may keep any property valued at 5,000
  or less at the end of the grant
• Property in excess of 5,000 needs disposition
  instructions
• Send GOR Equipment List in Excel Spreadsheet
  w/make, model, serial number
• If no instructions provided within 120 days,
  grantee may
• Retain for use on future USG funded projects
• Sell and pay the government share of the proceeds
  (less 10 selling expenses or 100, whichever is
  greater)

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• EXPIRED GRANTS
• Grants will not be amended/ resurrected after
  expiration
• Exceptions
• Negligence on part of Grants Officer
• Were activities in scope?
• Was scope/PoP intentionally exceeded?
• Have any activities occurred?
• No expenditure of obligated funds (Replacement
  Grant)
• Bona fide need
• Purpose is the same
• Scope is the same
• Track your Period of Performance!

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• GRANTS CLOSEOUT
• Grantee Responsibilities
• Government Responsibilities
• Record Keeping Requirements

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• GRANTS CLOSEOUT
• Process to determine completion of all
  administrative actions and required work
• When?
• Receipt of final financial and performance
  reports within 90 days of end of PoP
• All administrative requirements have been met
• All obligations must be liquidated within 90 days
  of end of PoP

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• GRANTEE RESPONSIBILITIES
• Required forms and reports
• SF-269 Financial Status Reports
• SF-272 Report of Federal Cash Transactions
• Final Program Report
• Listing of equipment and/or furniture acquired
  under the award
• Audit Reports if requested
• Grantee must dispose of equipment per USG
  instructions

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• GOVERNMENT RESPONSIBILITIES
• Prompt payments for outstanding allowable costs
• Receipt of any excess balances of un-obligated
  cash
• Unliquidated balance of funds will be
  de-obligated
• USG will provide disposition instructions

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• RECORD KEEPING REQUIREMENTS
• Financial, Property, Purchasing Records must be
  kept for 3 years
• Exceptions
• If any litigation, claim, or audit is started
  before the expiration of the 3-year period, the
  records need to be retained until all litigation,
  claims or audit findings involving the records
  have been resolved and final action taken
• Records for real property and equipment acquired
  with the award retained for 3 years after final
  disposition
• USG has right to access grantee records

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OFFICE OF WEAPONS REMOVAL AND ABATEMENT BUREAU OF
POLITICAL-MILITARY AFFAIRS

• QUESTIONS?