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Grants Management Training

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Allocation grant funds distributed at state and local levels ... Relieve State and Local governments of stewardship responsibilities for Federal funds ... – PowerPoint PPT presentation

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Title: Grants Management Training


1
Grants Management Training
  • Andy Zirkle
  • Grants Management Section Chief

2
Topics for the Day
  • Where the money comes from . . .
  • Funding
  • Types of Grants
  • Pre-award
  • Guidance Documents
  • Understanding Matching Funds
  • Understanding Supplanting
  • Proposal Submission
  • Budget Submission
  • How Proposals are Evaluated
  • Active grant award
  • Receiving the Award
  • Types of Agreements
  • Staying Organized
  • Reimbursement
  • Quarterly Reporting
  • Monitoring
  • Changing Agreements
  • Fraud Awareness

3
Where the Money Comes From . . .
4
Flow of Funds
  • I. Appropriation Money set aside by formal
    action for specific use
  • Congress appropriates the funds for the grant.
    DHS guidance to be release within 45 days
  • II. Apportionment apportioning of funds among
    the states according to United States law
  • Office of Budget Management budget creates
    formula for apportionment of the appropriated
    funds
  • III. Allotment allocation of funds to the
    designated SAA
  • DHS, FEMA, etc., notifies Indiana of grant fund
    availability
  • IV. Application submission of formal request
    for grant funds
  • IDHS notified of exact award amount and
    conditions within 90 days of application
  • V. Award notification of accepted application
  • IDHS notified of exact award amount and
    conditions within 90 days of application

5
Flow of Funds (cont.)
  • VI. Allocation grant funds distributed at state
    and local levels
  • IDHS has 45 days to assign funds to projects and
    sub-grantees
  • VII. Obligation legal liability to pay under a
    grant
  • Sub-grantees submit proposals/budgets and have
    sub-grant agreements and/or MOUs fully executed
  • VIII. Expenditure spending of grant funds
  • To be done during the performance period of the
    sub-grant, MOU or agency approved budget
  • IX. Disbursement paying funds to reimburse for
    expenditures
  • Upon receipt of equipment or service and request
    for reimbursement, the distribution of actual
    funds to the fiscal agent

6
Funding Decisions
  • Funding decisions are made based on a variety of
    factors. These can include
  • Availability of funds
  • National and State strategies and priorities
  • Local needs
  • Allowability of Request
  • Risk Analysis
  • Gap Analysis

7
Grants
  • According to the website www.usaspending.gov, a
    grant is
  • An authorized expenditure to a non-federal entity
    for a defined public or private purpose in which
    services are not rendered to the federal
    government.
  • Grants are categorized as either formula or
    project grants.
  • Formula grants are awarded based on mathematical
    calculations. EMPG is an example of a formula
    grant.
  • Project grants are funded for a specific project
    to be completed within a fixed or known period of
    time. HSGP is an example of a project grant.
    IDHS selects projects through a competitive
    process based on risk and effectiveness.

8
Pre-Award Administration Knowing Guidance
Documents
9
Required Oversight
  • All Federal and State funds are subject to
    certain regulations, oversight and audit.
  • Federal regulations require IDHS to oversee grant
    related activities.
  • Regulations are listed in the agreement, the
    Administrative Plan and the Guidance for the
    grant
  • Policy indicates oversight process of
  • Federal to State Administrative Agency (SAA)
  • SAA to Project Managers
  • Project Managers to Sub-grantees and Partners

10
Guiding Federal Regulations
OMB Circulars are available online at the
following website www.whitehouse.gov/omb/circular
s
The table below references federal rules that may
apply to your organization
State and Local Governments Public and Private Institutions of Higher Education Hospitals Affiliated with Institutions of Higher Education Quasi-Public and Private Nonprofits Public and Private Hospitals
Grant Administration 44 CFR 13 OMB Circular A-102 OMB Circular A-110 OMB Circular A-110 OMB Circular A-110 OMB Circular A-110
Cost Principles OMB Circular A-87 OMB Circular A-21 OMB Circular A-21 OMB Circular A-87 OMB Circular A-87
Audits OMB Circular A-133 OMB Circular A-133 OMB Circular A-133 OMB Circular A-133 OMB Circular A-133
11
OMB Circular A-87
  • REQUIRES that a cost be
  • Allowable
  • Necessary to the performance of a project
  • Reasonable
  • Non-profitable
  • Claimed against only one award
  • Permissible under State and Federal laws and
    regulations
  • Adequately supported by source documentation such
    as cancelled checks, payrolls, contracts, etc.

12
OMB Circular A-87
  • This Circular DOES NOT
  • Supersede limitations imposed by law (laws
    overrule OMB)
  • Dictate how a government should use funds
  • Relieve State and Local governments of
    stewardship responsibilities for Federal funds

13
OMB Circular A-133
  • Sets forth standards for obtaining consistency
    and uniformity among Federal agencies for the
    audit of non-Federal entities expending Federal
    Awards.
  • Requires that Audits be performed annually, with
    the exception of special provisions.
  • Identifies a pass-through entity as a
    non-Federal entity that provides a Federal award
    to a sub-grantee to carry out a Federal program

14
Top Audit Findings
  • Accounting procedures need improvement
  • Grant reporting requirements not met
  • Grant management procedures need improvement
  • Cash management procedures need improvement
  • Per Office of Justice Programs

15
IDHS Administrative Plan for Grants Management
  • Pre-Award Management
  • Award posted in iGMS
  • Proposal/Budget accurately entered and submitted
    in iGMS
  • Budget approval (need to allow time for approval
    process, approximately 2 weeks)
  • Correctly identifying the sub-grantee (Section II
    the tax id that is provided by a sub-grantee or
    contractor has to be the tax id for the entity
    named in the agreement)
  • Active Award Management
  • Quarterly Reports
  • GANS
  • Monitoring
  • Post-Award Management
  • Close-out

16
Pre-Award Administration Understanding Matching
Funds
17
Match
  • Matching or Cost Sharing means the value of the
    third party in-kind contributions and the portion
    of the costs of a Federally assisted project or
    program not borne by the Federal Government. All
    cost-sharing or matching funds claimed against a
    grant by State, local or Tribal governments must
    meet the requirements of the program guidance
    and/or program regulations, 44CFR 13, and 2 CFR
    225.

18
Types of Match
  • Cash Match (hard)
  • Includes cash spent for project-related costs
    under a grant agreement. Allowable cash match
    must include only those costs which are allowable
    with Federal funds in compliance with the program
    guidance and/or program regulations, 44 CFR 13,
    and 2 CFR 225.
  • In-kind Match (soft)
  • Means contributions of the reasonable value of
    property or services in lieu of cash which
    benefit a federally assisted project or program.
    This type of match may only be used if not
    restricted or prohibited by program statue,
    regulation or guidance and must be supported with
    source documentation. Only property or services
    that are in compliance with program guidance
    and/or program regulations, 44 CFR 13, and 2
    CFR 225 are allowable.

19
Pre-Award Administration Understanding
Supplanting
20
Supplanting
  • Supplanting is unallowable and is defined as
  • Deliberately reducing State or local funds
    because of the existence of Federal funds.
  • Example State funds are appropriated for a
    stated purpose and Federal funds are awarded for
    that same purpose. (If a county has 50.00
    budgeted for snowplowing and is awarded a 100.00
    grant for snowplowing, the total project must
    expend 150.00 the original 50.00 cannot be
    removed and used for something else).
  • Discovering supplanting will result in the
    immediate return of federal funds related to the
    expenditure and project. Supplanting puts all
    federal funds at risk.

21
Pre-Award Administration Proposal Submission
22
Components of a Proposal
  1. Two-Sentence Summary
  2. Applicant Information
  3. Primary Point of Contact
  4. Management Team
  5. Strategy Alignment State/Federal
  6. Current Status of Project
  7. Project Detail/Capability Enhancement
  8. Milestones
  9. Project Challenges
  10. Evaluation/Impact
  11. Sustainability

23
I. Two Sentence Summary
  • Instructions
  • This section should include information for those
    readers who will not read the entire document but
    who will need a summary of the proposal.
  • The purpose and anticipated end result of this
    proposal
  • The type and amount of support requested
  • The total anticipated budget
  • Other information you deem pertinent
  • Example
  • The proposed project, District 5 and Statewide
    Hospital based activities, will be implemented
    under the auspices of Managed Emergency Surge for
    Healthcare (MESH), a coalition dedicated to
    establishing best practices for hospital-based
    medical surge and preparedness for Indiana and
    the United States. MESH is in a unique position
    to close the existing gaps in hospital-based
    efforts, such as overall preparedness planning,
    expansion of medical surge (due to lack of
    supplies, space, and human resources), and lack
    of collaborative policies and infrastructure
    between the pre-hospital environment, emergency
    departments and hospitals, outpatient care
    resources, and governmental entities.

24
II. Applicant Info
  • This information is used to prepare the sub-grant
    agreement and should be completed on behalf of
    the entity legally authorized to enter into a
    contract or agreement with the State of Indiana.
  • Example
  • Organization Legal Name
  • School of Medicine
  • Federal Tax ID
  • XX-XXXXXXX (MUST Match Organization Legal Name)
  • Principle Executive Officer
  • John C. Jones
  • Title
  • Assistant Vice President
  • If non-government, date of IRS Non-Profit Approval

25
III. Primary Point of Contact
  • This area is used to designate who the
    sub-grantee has determined with serve as Project
    Manager and who we should contact with day-to-day
    operational questions.
  • Example
  • First Name C.
  • Last Name - Smith
  • Organization School of Medicine
  • Street 1 3930 Indiana Road
  • Street 2
  • City Indianapolis
  • State - IN
  • Zip - 34567
  • Primary Phone Number 317-630-XXXX
  • Alternate Phone Number
  • Fax 317-656- XXXX
  • E-mail XXXXXX_at_medicineschool.edu
  • County - Marion

26
IV. Management Team
  • State all federal, state, local, non-profit,
    private, and educational organization partners
    should be listed here.
  • Describe the management team that is directly
    responsible for the implementation of this
    project. Specifically, describe any key project
    roles and responsibilities, structures, and
    subject matter expertise required by this
    project, including at least the project manager
    and the contract management structure. An
    organizational chart may be included in the
    response.
  • Note This should not be a description of an
    organizational chart. In addition to the project
    manager and SMEs, consider including admin
    functions such as accounting and procurement.

27
Management Team Example
  • Dr. Smith is a Medical Director of Project MESH
    and under his leadership five full-time staff are
    responsible for planning, training, and program
    management-related activities. Project MESH is
    in the process of establishing a voting board of
    directors that will provide overall direction to
    the coalition. The voting board will be
    comprised of executive leadership from District 5
    hospitals, community health centers, and
    governmental agencies. Additionally, a working
    group currently meets on a monthly basis to
    ensure timely completion of projects and
    coordination among the District 5 Planning
    Council, the District 5 Hospital Group, MMRS
    Steering Committee, and the UASI Health and
    Medical Group.

28
V. Strategy Alignment State/Federal
  • See the Indiana Strategy for Homeland Securitys
    matrix for a chart of Strategic Goals and
    Objectives, and their links to the National
    Priorities. Identify the specific goals and
    objectives in the Indiana Strategy for Homeland
    Security to which this project applies by
    choosing the appropriate goal and objective
  • Example
  • Indiana Strategy
  • 7. Health and Medical Establish an effective
    disaster health and medical system
  • 7.01. Ensure a responsible emergency medical
    service (EMS) system for mass casualty events
  • US DHS National Priorities
  • Strengthen Medical Surge and Mass Prophylaxis
    Capabilities
  • Strengthen Planning and Citizen Preparedness
    Capabilities
  • US DHS Target Capabilities
  • Medical Surge
  • Planning
  • Triage and Pre-Hospital Treatment

29
VI. Current Status of Project
  • This section will be scored in terms of
    contribution to setting context and relationship
    with other sections
  • Describe the current status of this project,
    specifically including any outcomes that have
    already been achieved (be specific!). Discuss
    other options that were considered and why this
    project was selected over other options.
  • Example
  • Coordination of federally-mandated training
    exercises at Wishard Memorial Hospital, Westview
    Hospital, and St. Vincent Hospitals.
  • In collaboration with Regenstrief Institute,
    currently in the process of developing an
    electronic medical records system for community
    health centers
  • Expanded the resource cache for Marion County
    Health Departments Points of Distribution Sites
    (PODS) to include laptop computers for 25 PODS
  • Expanded the Siren ePCR project, allowing
    ambulances access to patient data in ambulances
    and establishing a link for Regenstrief Institute
    to access pre-hospital EMS data

30
VII. Project Detail/Capability Enhancement
  • Describe the overall, long-term purpose of this
    project, including how this project supports the
    Indiana Strategy for Homeland Security Goals and
    Objectives, the national Priorities, and the
    Target Capabilities identified.
  • Example Through this initiative the following
    key objectives will be accomplished
  • Expansion of DMORT/DMAT Project MESH will use
    the recently drafted District 5 Fatality Plan,
    and the upcoming fatality exercise to expand
    initiatives statewide. MESH staff will work with
    area coroners and morticians to expand fatality
    planning throughout the district, conduct
    appropriate training, and develop a District 5
    inventory of DMORT resources. Additionally DMAT
    training will be offered throughout District 5 by
    expanding the already-established tactical EMS
    teams. Finally, statewide resources for
    DMORT/DMAT will be assessed, and MESH staff will
    work with IDHS officials for statewide planning
    and gap analyses.

31
VIII. Milestones
  • Provide detailed information on the expected
    timetable/milestones for the project.
  • Base the milestones on the following phases
  • Pre-Award
  • Active Grant Award
  • Post Award
  • Appropriate level of detail includes entries such
    as
  • Obtain support and feedback from first-responder
    stakeholders complete training on newly
    purchased GPS trackers integrate communicates
    systems across fire/police departments and
    hospitals, etc.
  • Inadequate detail includes entries such as
    Stakeholder engagement, training, exercises.

32
Pre-Award Example
Description Start Date End Date Completed?
Mass casualty planning /fatality management will be revised and updated 06/01/08 12/31/08 Yes
Project MESH will establish the voting board of directors, comprised of executive-level leadership from area hospitals and governmental entities 01/01/09 07/31/09 No
33
Active Grant Award
Description Start Date End Date Completed
Project MESH will facilitate collaborative policy development and planning 09/01/09 08/31/10 No
Dedicated staff will develop and implement standardized trainings and functional and tabletop exercises 09/01/09 08/31/10 No
34
Post Award
Description Start Date End Date Completed
MESH will work with healthcare to continue to enhance their medical surge-related capabilities and ensure collaboration with appropriate governmental agencies 9/30/10 09/29/11 No
35
IX. Project Challenges
  • Identify any challenges to the effective
    implementation of this project. Include the
    probability that the challenge will occur, and
    the level of impact should it occur, as well as a
    description of how the challenge will be
    mitigated.
  • Possible areas of challenges include
  • Schedule
  • Costs
  • Feasibility
  • Dependencies
  • Interoperability between this project and others,
    Management
  • Organizational and change Management
  • Technology
  • Strategy
  • Resources

36
IX. Project Challenge
  • Example

Challenge Impact Probability Mitigation Steps
Several technology projects need coordination High Medium Dedicated staff will provide coordination and management of these projects
37
X. Evaluation/Impact
  • What outcomes will indicate that this project is
    successful at the end of it? What outcomes will
    indicate that this project is successful at the
    end of the performance period? Include
  • Outcomes that will be demonstrated throughout the
    project
  • Outcomes that will be expected at the conclusion
    of the grant period
  • Measurable outputs that will lead to these
    outcomes
  • How the outcomes will mitigate the risks in
    Indiana

38
X. Evaluation/Impact Example
  • Example
  • The following outputs and outcomes will be used
    to measure the impact of the initiatives outlined
    within the scope of this proposal
  • Medical supplies and PPE will be inventoried in
    one database for the entire District 5 area
  • Patient tracking software will be implemented and
    used by all the hospitals in District 5
  • Collaborative policies will be developed to
    enhance the pre-hospital surge capacity of
    hospitals and healthcare entities in District 5
  • Healthcare providers in Central Indiana will be
    well trained using standardized curricula
  • Pertinent hospitals and healthcare entities will
    collaboratively participate in functional and
    table top exercises

39
XI. Sustainability
  • What is the long-term approach to sustaining the
    capabilities developed by this project? Describe
    any additional sources of funding to be used, and
    future plans or milestones for sustaining the
    investment. Response should reference the impact
    (x. above) and how progress in addressing the
    capability gaps (identified in V. and VI. above)
    will be sustained.
  • Example
  • School of Medicine (SM) has dedicated significant
    resources to ensure successful accomplishment of
    deliverables outlined within the scope of Project
    MESH. These resources include dedicated staff
    for resource development, community outreach, and
    education, IUSM, through it collaborative
    partnership with Wishard Health Services, and
    Health and Hospital Corporation of Marion County
    has been successful in securing funding for
    various projects and is currently in the process
    of developing a comprehensive sustainability
    plan. Project MESH does not anticipate long-term
    grant funding, rather grant funds are anticipated
    for use as seed money, with the hope that private
    businesses and hospitals will support the
    initiative permanently.

40
Pre-Award Administration Submitting a Budget
41
Submitting a Budget
  • Detail, detail, detail!
  • Project Specify proposal.
  • Fund If multiple funds are associated to a
    single proposal, specify to which fund this item
    is associated.
  • Solution Area (see specific grant guidance for
    information on allowable costs)
  • Planning
  • Organization
  • Equipment (always consult http//rkb.mipt.org for
    equipment allowability)
  • Training
  • Exercise
  • Management and administration (please check with
    Grants Management before adding MA expenditures)
  • Category Specific to the solution area, specify
    the category of expenditure.
  • Discipline Which primary discipline will
    benefit
  • Description Description of item
  • Narrative Description (when applicable) of how
    the budget numbers were determined. For instance,
    if there is a 5,000 travel line, the Narrative
    would be a good place to explain the nature of
    that line item.
  • You must purchase what is listed in your budget
    to please be specific and be certain!

42
Pre-Award Administration How Proposals are
Evaluated
43
How Proposals Are Evaluated
  • State Evaluation Will the proposal be included
    in the federal grant application for Indiana?
  • Primary emphasis on District based benefit. This
    must be clearly defined and supported by all
    members of the District.
  • Must show strong linkages to the state and
    national priorities.
  • Milestones/goals must be SMART (Specific,
    Measurable, Attainable, Realistic, Timely)

44
How Proposals Are Evaluated (cont.)
  • Federal Will Indiana score well on the
    application?
  • In sections where a narrative is required, the
    general scoring is as follows
  • 0 No narrative, or does not address how the
    Investment supports requirements.
  • 1 Narrative describes a linkage, but provides
    no specifics on how the Investment will support
    requirements.
  • 2 Narrative describes a linkage and provides
    some specifics on how the Investment will support
    requirements.
  • 3 Narrative describes a direct linkage and
    offers detailed specifics on how the Investment
    will support requirements.
  • This scoring criteria is pulled directly from the
    federal review training program.
  • Your proposals are the foundation for Indianas
    federal grant application and the template is
    tailored to get the needed information so IDHS
    can make a strong and compelling application.

45
Active-Award Administration Receiving the Award
46
Receiving the Award
  • Successful proposal submissions result in money
    to your area!
  • When you submit a proposal, you will be notified
    of the outcome approval or denial.
  • If your award is approved, you will be provided
    with a sub-grant agreement (local jurisdictions)
    or MOU (state agencies).
  • This document is the legal means through which
    the funding actually gets to you and it is very
    important to understand what that document means.

47
Active-Award Administration Agreements
48
Types of Agreements
  • Sub-grant Agreement
  • Prepared when money is awarded to local entities
    (i.e., counties, cities, non-profits)
  • Memorandum of Understanding
  • Prepared when money is awarded to other State
    agencies
  • Prepared with locals to allow IDHS to expend
    money on their behalf. (i.e., Ardent Sentry
    where locals did not want the responsibility of
    coordinating with other state and Federal
    partners).
  • All sub-grant agreements and MOUs must be fully
    executed (signed by all parties at the state and
    local level) prior to any funding being obligated.

49
How an Agreement Gets Written and Fully Executed
Sub-grant agreement received, noted in iGMS and
delivered to Legal Section (LS)
Project Manager distributes agreement to
Sub-grantee
Signed Sub-grant agreement returned to IDHS
Grants Management Branch (GMB)
1 day
LS prepares EDS sheet, conducts clearance
checks, legal review/approval, obtains fiscal
approval and submits for IDHS signature
4 days
1 days
3 days
3 days
12 days
3 days
3 days
2 weeks ( 45 days)
5 days
3 days
NOTE Failure to clear through either the
Department of Revenue (DOR) or Department of
Workforce Development (DWD) will result in the
sub-grant agreement being held until the
sub-grantee has resolved the issue. GMB will
notify sub-grantee of any issues related to
clearance checks.
NOTE If form approval has been obtained this
step may be skipped.
50
Things YOU Can Do to Avoid Bumps in the Road
  • Make sure all documents are returned to IDHS with
    original signatures! (copies are not accepted)
  • Return all pages of the agreement
  • Ensure compliance with Department of Revenue and
    Department of Workforce Development requirements
  • Auditors office has all required payments up to
    date
  • No outstanding liabilities to either department
  • You will be notified by IDHS, but the corrective
    action must take place between you and the
    corresponding agency. IDHS staff cannot
    facilitate a fix due to legal restrictions.
  • Verify NIMS compliance
  • Make sure all NIMS requirements are met
  • For questions, see http//www.in.gov/dhs/2559.htm
  • Verify EMS and Fire reporting compliance (if
    applicable)
  • Make sure all reporting requirements are up to
    date
  • For questions, see http//www.in.gov/dhs/2738.htm

51
Active-Award Administration Staying Organized
52
Organization Success
  • Every recipient is different, but staying
    organized will position you for success!
  • Recommended file organization
  • One binder per grant (2006 EMPG, 2007 HSGP, 2008
    EMPG, etc.)
  • Sections
  • Agreements (sub-grant agreements, MOUs,
    amendments)
  • Proposals
  • Budget (original exists in agreement, this would
    be where the changes and approvals are recorded)
  • Reimbursements/disbursements
  • Quarterly reports
  • Correspondence (anything that explains the whats
    and whys of a project)
  • Other pertinent information (you will not be
    penalized for over documentation)

53
Active-Award Administration Reimbursement
54
Requesting Reimbursement
  • All IDHS grants are reimbursement based.
    Advances are not allowed.
  • Requesting a reimbursement is a two part process
  • Enter the request in the iGMS
  • Send the request proof to IDHS. E-mail or fax is
    most reliable.
  • Once the reimbursement request is approved in the
    iGMS (2 business days after proof is received),
    that signals the request has been sent for
    payment. Payment typically happens 10-14
    business days after approval (depending on the
    Auditor of State).
  • All reimbursements should be approved in
    approximately 2 business days from receipt of
    proof, if you have submitted a reimbursement
    request and corresponding proof, please feel free
    to contact Grants Management to address any
    delays. Our top priority is to get your money to
    you as fast as possible!

55
Active-Award Administration Quarterly Reports
56
Submitting Quarterly Reports
  • Quarterly reports are due 15 days after the close
    of the quarter on
  • January 15
  • April 15
  • July 15
  • October 15
  • Successful submission requires
  • Transmission in the iGMS
  • Signed original sent to IDHS Grants Management
  • Quarterly reports should
  • Detail obligations/expenditures
  • Provide applicable project data including any
    perceived or anticipated areas of concern.

57
Active-Award Administration Monitoring
58
Monitoring
  • The Indiana Department of Homeland Security
    (IDHS), as the federal grantee, is responsible
    for monitoring sub-recipients and ascertaining
    that all fiscal, compliance and programmatic
    responsibilities are fulfilled.

59
Monitoring (cont.)
  • Comprehensive document review may include
  • Monitoring sub-recipient reporting
  • Recordkeeping
  • Internal operation/controls
  • Accounting control systems

60
Importance of Monitoring
  • Monitoring assists IDHS to identify areas of need
    for sub-grantee support and provides feedback on
    ways to improve its services.
  • Federal requirements mandate that as the
    pass-through Agency, the Indiana Department of
    Homeland Security, is responsible for maintaining
    the standards of consistency and uniformity set
    for the audit of non-Federal entities expending
    Federal awards.

61
How Can Monitoring Help You?
  • Help you get organized!
  • Ensure reimbursement flow
  • Serve as a resource for documentation of
    processes and internal operations
  • Affirm positive actions and processes
  • Provides feedback and identify areas of need
  • Prepares you for a local, state or federal audit!
  •  

62
Desk Review Monitoring
  • Our goal at this point is to conduct office-based
    monitoring reviews for one third of all
    sub-grantees per fiscal year per active grant
    program.
  • The Grants Compliance Officer reviews the sub
    grantees master grant file to perform fiscal,
    compliance and programmatic monitoring.
  •  

63
Desk Review
  • At a minimum a desk review will be completed for
    1/3 of all Sub-grantees for each grant per fiscal
    year. Items to be reviewed may include
  • Complete application/proposal
  • Sub-grant agreement
  • Amendments and associated documentation
  • Substantial presentation/promotional/training
    materials
  • Applicable correspondence
  • Inventory, receipt of materials
  • Quarterly financial and progress reports with
    supporting documentation (including narrative
    status reports)
  • Requests for reimbursements
  • Proof of expenditures

64
On-site Monitoring
  • On sight monitoring can happen as a result of
    findings from a single audit, desk review or
    because a sub-recipient is considered high risk
  • If the sub-recipient has received sub-grants
    under several programs, all program grants are
    reviewed and monitored at the same time and the
    appropriate IDHS Project Managers participate.
  • The sub grantee will be provided with information
    regarding what will be required during the
    monitoring session.
  • On-site, the Grants Compliance Officer will
    review applicable grantee spending plans,
    accounting systems and controls, records
    retention systems, 3rd-party contracting,
    procurement activities, and equipment maintenance
    and property management systems.
  • A major portion of the meeting involves
    discussions about project implementation such as
    milestones, timeline, rate of funds expenditure,
    project operations, performance measures and
    evaluation,

65
Active-Grant Administration Requesting Changes
in Your Grant
66
Changing an Agreement Grant Adjustment Notice
(GAN)
  • A GAN is required when
  • There is a deviation in the award amount
  • Change in budget detail
  • Update contact information
  • Obligate or deobligate funds
  • To reconcile budget prior to close out
  • Request to change project period

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Requesting a Performance Period Extension
  • Extension requests must be made 30-60 days prior
    to the end of the project period (set in the
    sub-grant agreeement). Late requests will result
    in deobligation. Requests must include
  • Justification for delay/setback including any
    mitigating circumstances
  • Detailed current report of encumbrances/expenditur
    es
  • Updated, detailed, realistic timeline to include
    future encumbrances and payment schedules
  • Other applicable supporting documentation

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Active-Grant Administration Fraud Awareness
69
Fraud Awareness
  • Each year, the United States Government awards
    nearly 450 billion dollars in Federal Assistance
    Agreements, most commonly in the form of grants
    that help to
  • Support national infrastructure programs in
    transportation, homeland security, criminal
    justice, agriculture, human health, and the
    environment.
  • Fund scientific research, studies, and analyses.
  • Further the social sciences, art, literature, and
    promote cultural enrichment.
  • Unfortunately, grant dollars are susceptible to
    fraud, waste and abuse.

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Common Grant Fraud Scenarios
  • Grant fraud occurs in many ways, but some of the
    most common fraud scenarios include
  • Charging personal expenses as business expenses
    against the grant.
  • Charging for costs which have not been incurred
    or are not attributable to the grant
  • Charging for inflated labor costs or hours, or
    categories of labor which have not been incurred
    (for example, fictitious employees, contractors,
    or consultants).
  • Fraud indicators
  • False or altered supplier invoices
  • Intentional inaccuracies about performance or
    completion
  • Payments to influence grant awards

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Case 1
  • Background
  • Chief Financial Officer for Head Start grantee
  • Agency received 13 million a year
  • Co-defendant operated shell realty company
  • Allegations
  • CFO funneled 1.1 million from Head Start
    facility renovation projects to self
  • Paid personal bills
  • Entertained mistress
  • Paid college tuitions for relatives
  • How
  • Circumvented internal controls
  • Sole check writer and only person to reconcile
    bank account
  • Result
  • 51 months confinement
  • 3 years supervised release
  • Restitution

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Case 2
  • Background
  • Chief of Family Services
  • Diverted money from program designed to benefit
    foster care and adopted children
  • Allegations
  • 35,000 for travel to Israel
  • 18,00 in consulting services provided by herself
  • 2,700 in catering expenses
  • 15,000 in building renovations in Israel
  • Charges
  • False claims
  • Conspiracy
  • Obstruction of Justice Impeding a federal
    investigation and attempting to conceal that she
    paid herself federal funds
  • Result
  • 6 months of home confinement
  • 100 hours of community service
  • 2 years probation
  • 250,000 criminal fine
  • 274,000 in restitution
  • Debarment

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Other Fraud Instances
  • The Senate permanent Subcommittee on
    Investigations recently reviewed Medicare claims
    from 2000-2007 and found significant payments for
    medical services ordered by over 16,500 dead
    doctors between 60 million to 92 million. 
    Some doctors had been deceased for more than 10
    years  
  • A Brooklyn dentist performed as many as 991
    procedures in a single day

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Grants Management Staff Who Ya Gonna Call
  • Andy Zirkle - (317) 234-3321 General Management
    and Oversight
  • Niki Theeuwes - (317) 234-2981 Grant Writing and
    General Customer Service
  • Sy Walden-James- (317) 234-2583 Award, Budget
    and IGMS concerns
  • Dolly Watkins (317) 234-6507 Reimbursement
    and Disbursement concerns
  • Cindy Riley (317) 234-5959 HMEP and Monitoring
    concerns
  • Beth Clark- (317) 232-1681 PSIC, CSEPP and
    IECGP concerns
  • Vicki Biddle (317) 234-5917 Quarterly Reports
    and General Clerical

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Additional Resources
  • www.grants.gov clearinghouse for federal grant
    announcements and application
  • www.ready.gov source for preparedness
    information for the general public
  • www.cfda.gov - The Catalog of Federal Domestic
    Assistance
  • www.rkb.mipt.org Responder Knowledge Base
    source for the Authorized Equipment List
  • www.in.gov/dhs/2338.htm - IDHS Administrative
    Plan for Grants Management

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Sources
  • National Procurement Fraud Task Force
    Presentation
  • A Guide to Grant Oversight and Best Practices for
    Combating Grant Fraud, National Procurement Fraud
    Task Force, Grant Fraud Committee, February 2009
  • Audit Tips for Managing Disaster-Related Project
    Costs, Department of Homeland Security, Office of
    Inspector General, October 2008
  • Seminar on Financial Management, Office of the
    Chief Financial Officer, Office of Justice
    Programs
  • FEMA Grant Programs Directorate, Grants
    Management Division, Match Guidance
  • State of Indiana Department of Homeland Security
    and Emergency Management Sub-Recipient Grant
    Management and Monitoring Policy
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