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Grants Made Easy: Awarding and Monitoring Federal Grants

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Title: Grants Made Easy: Awarding and Monitoring Federal Grants


1
Grants Made Easy Awarding and Monitoring
Federal Grants
G P D
Grant Programs Directorate
  • Presented
  • for the workshop at UMD School of Business
    sponsored by
  • Governors Grants Office and Washington D.C.
    Mayors Office of Partnerships and Grant Services

2
FEMA Grant Programs Directorate (GPD)
  • Our Mission
  • To provide a unified, solutions oriented approach
    to federal
  • financial assistance management in support of
    FEMAs
  • multi-faceted mission, priorities and customer
    base.
  • Our Vision
  • The recognized leader valued for proactive
    federal financial
  • assistance management that prepares the American
    public
  • and supports them in their times of greatest
    need.

3
Scope of FEMA Grant Programs
  • Provide grants management business services
  • 50 Grant Programs at FEMA across 7 Directorates
    also award and manage one-time grant awards
    (i.e., earmarks)
  • 6 disaster grant programs
  • Disaster and non-disaster grant programs follow
    different processes
  • Regional grants staff do not award disaster
    grants, but do manage them. Program Staff have
    award authority per Program Regulations.
  • 2007 Data
  • Non Disaster
  • 7646 grants awarded (grants not projects)
  • Over 5B awarded
  • Disaster
  • 129 grants awarded (grants not projects)
  • Over 5B awarded

4
FY 2007 Grant Awards
Type of Grants Number of Awards FY
2007 Assistance to Firefighters Grants 6436
672,280,341 Preparedness 788
3,697,455,785 Disaster Assistance 129
5,471,384,499 Non-Disaster Grants 422
785,490,791 Total Awarded in FY 07
7775 10,626,611,416
4
5
FEMA Grant Programs by Directorate
  • U.S. Fire Administration
  • Reimburse Firefighting on Federal Property
  • Degrees at a Distance
  • Training Assistance
  • State Fire Training Systems Grants
  • TRADE Grants
  • NFA Education Programs
  • EMI Independent Study
  • EMI Residential Educational
  • EMI Training Assistance
  • Fire Service Hazardous Materials
  • PARADE Grants
  • Safe Kids
  • Mitigation
  • Earthquake Consortium
  • National Dam Safety
  • Cooperating Technical Partners
  • Map Modernization Management Support
  • Community Assistance Program State Support
    Services Element
  • Flood Mitigation Assistance
  • Repetitive Flood Claims
  • Pre-Disaster Mitigation Competitive
  • Hazard Mitigation Grant Program
  • Severe Repetitive Loss
  • Disaster Operations
  • Urban Search and Rescue Cooperative Agreements

Color Code
HQ Grant Programs
Currently in Regions
Direct Federal Assistance, loan, stipend programs
6
FEMA Grant Programs by Directorate
  • Disaster Assistance
  • Alternative Housing Pilot Program
  • Debris Removal Insurance
  • Disaster Donations Management
  • Katrina Case Management
  • 9/11 Heroes Stamps
  • Emergency Food and Shelter National Board
  • Fire Management Assistance
  • Public Assistance
  • Crisis Counseling Program
  • Individuals and Households - Other Needs
  • Community Disaster Loans
  • Cora Brown Fund
  • Disaster Unemployment Assistance
  • Disaster Legal Services
  • Disaster Housing Operations for Individuals and
    Households
  • Disaster Housing Assistance
  • Grant Programs
  • Assistance to Firefighters Grant (AFG) Program
  • Staffing for Adequate Fire Emergency Response
    Grant Program (SAFER)
  • Homeland Security Grant Program (HSGP)
  • State Homeland Security Program (SHSP)
  • Urban Areas Security Initiative (UASI)
  • Metropolitan Medical Response Grants (MMRS)
  • Citizen Corps Program (CCP)
  • Transit Security Grant Program (TSGP)
  • Intercity Passenger Rail Security (Amtrack)
  • Freight Rail Security Grant Program (FRSGP)
  • Port Security Grant Program (PSGP)
  • Intercity Bus Security Grant Program (IBSGP)
  • Trucking Security Program (TSP)
  • Buffer Zone Protection Program (BZPP)
  • Emergency Operations Centers (EOC)
  • Operation Stonegarden (OPSG)
  • Interoperable Emergency Communication Grants
    (IECG)
  • UASI Non-Profit

Color Code
HQ Grant Programs
Currently in Regions
Direct Federal Assistance, loan, stipend programs
7
FEMA Grant Programs by Directorate
  • National Preparedness
  • System Assessment and Validation for Emergency
    Responders (SAVER)
  • National Training Program
  • Competitive Training Grant
  • Homeland Security Preparedness Technical
    Assistance
  • Systems Support Grant Program
  • Chemical Stockpile Emergency Preparedness Program
    (CSEPP)
  • Commercial Equipment Direct Assistance Program
    (CEDAP)
  • Regional Catastrophic Preparedness Grant Program

Color Code
HQ Grant Programs
Currently in Regions
Direct Federal Assistance, loan, stipend programs
8
Evolution of GPD
  • FEMA formed in 1979 to respond to natural
    disasters and civil emergencies
  • Grants Management Branch established within the
    Office of Chief Procurement Officer
  • Office of Justice Programs (OJP) establishes the
    Office for Domestic Preparedness (ODP)
  • Homeland Security Act of 2002 ODP transferred
    to DHS March 1, 2003
  • 2003 Office of State and Local Government
    Coordination and Preparedness (SLGCP)
  • 2005 SLGCP is incorporated under the
    Preparedness Directorate as the Office of Grants
    Training (GT)
  • Post Katrina Emergency Management Reform Act
    (PKEMRA) of 2006 Preparedness to FEMA as of
    April 1, 2007
  • Grants Management Branch, Preparedness Programs
    Division (PPD), Office of Grant Operations (OGO)
    combined to form the Grant Programs Directorate

9
Grant Programs Directorate (GPD)
Office of the Assistant Administrator for Grant
Programs W. Ross Ashley III
Grant Development Administration Division
(GDA) T. Trautman
Business Support Data Analysis Division
(BSDA) L. Lewis
Financial Accountability Oversight Division
(FAO) L. Lewis
Assistance to Firefighters B. Cowan
Systems B. Costa (A)
Operations J. Capps (A)
Financial Monitoring N. Baugher (A)
Reporting and Analysis C. Toro (A)
Transportation Infrastructure Security M.
McNamara (A)
Regional Operations Business Support J.
Cramer (A)
Audit M. Lloyd (A)
Homeland Security Programs E J. Hampton C M.
Larson (A) W J. Marks
Training D. Simmons (A)
Program Development Stacey Street (A)
10
Grant Development Admin. GDA
Grant Development and Administration (GDA)
Regional Operations Business Support
Homeland Security Programs
Transportation Infrastructure Support
Assistance to Firefighters
Program Development
11
GDA - Assistance to Firefighters (AFG)
  • Oversee funding for firehouses
  • and EMS rescue organizations
  • Develop grant guidance and
  • reports
  • Administer and programmatically monitor grants
    (e.g. award, execution, closeout)

12
GDA - Transportation Infrastructure Security
  • Programmatic grant oversight for the majority of
    Infrastructure Protection Program (IPP)
    components
  • Key programs include
  • IBSGP, PSGP
  • and TSGP

13
GDA - Homeland Security Programs
  • Programmatic grant
  • oversight for Homeland
  • Security Preparedness Programs
  • Key programs include
  • EMPG and HSGP (CCP, MMRS, SHSP, and UASI)

14
GDA - Program Development
  • Establish program
  • guidance for new and
  • existing grant programs
  • Provide programmatic grant program administration
    activities as related to award execution and
    closeout for technical assistance elements of
    HSPTAP

15
BSDA and FAO
Business Support Data Analysis Division (BSDA)
Financial Accountability Oversight Division
(FAO)
Systems
Operations
Financial Monitoring
Reporting and Analysis
Regional Operations Business Support
Audit
Training
16
BSDA/FAO has 7 Functional Areas
  • Policy
  • Regional Operations
  • Operations (HQ)
  • Systems
  • Training
  • Reporting and Analysis
  • Audit (A-133)

17
Functional Areas
  • Each functional area plays a unique and
    interrelated role in the organization.
  • All require extensive knowledge of the Federal
    requirements for all grants as outlined in
    legislation, OMB Circulars, Regulations.
  • Every functional area ensures compliance,
    standardization, and internal controls.

18
Compliance
  • Federal Grant and Cooperative Agreement Act
  • Authorizing Legislation (i.e. 9-11 Act, Stafford
    Act)
  • Appropriations Language
  • Appropriations Law
  • Federal Regulations (i.e. 44 CFR)
  • Program Guidance
  • OMB Circulars (Administrative Requirements, Cost
    Principles, and Audit)
  • State and Local Governments A-102, A-87, A-133
  • Educational Institutions A-110, A-21, A-133
  • Non-Profits A-110, A-122, A-133
  • For Profit A-110, FAR 31.2, A-133

19
Standardization
  • We ensure that FEMA applies Federal requirements
    listed above evenly across all grant programs.
  • We ensure standardization of processes and
    procedures wherever possible.
  • We standardize the implementation, application,
    review, award/obligation, management, and
    closeout of grants.

20
Internal Controls
  • We are the officials with the delegation of
    authority to obligate FEMA in legally binding
    non-disaster grant agreements.
  • We ensure the proper separation of duties between
    the program office that determines eligibility
    and the fiduciary agent that determines
    reasonableness, allowability and allocability of
    grant dollars.
  • We provide the review, oversight and
    documentation required by all FEMA offices to
    legally bind the Federal government in a grant
    agreement.

21
GPD Outreach to Minority Institutions
  • Increase capacity of Minority Colleges and
    Universities (MCU) to compete effectively for
    grants.
  • Federal Agencies Are Required to Support
  • Executive Order 13256 Presidents Board of
    Advisors on Historically Black Colleges and
    Universities (HBCU)
  • Executive Order 13230 Presidents Advisory
    Commission on Educational Excellence for Hispanic
    Americans (HSI)
  • Executive Order 13270 Tribal Colleges and
    Universities (TCU)

22
GPD Outreach to Minority Institutions
  • GPD Goal
  • Implement a strategic plan for the next three
    fiscal years to support Historically Black
    Colleges and Universities (HBCU), Hispanic
    Serving Institutions (HSI), and Tribal Colleges
    and Universities (TCU) as outlined below.
  • Three-Phased Approach
  • Establish partnerships
  • Utilize campus facilities
  • Visit campuses to attend job fairs and conduct
    workshops for faculty about FEMA grant funding
    opportunities

23
GPD Outreach to Minority Institutions
  • Establish Partnerships Between
  • FEMA Headquarters and Regional Offices
  • HBCU, HSI and TCU
  • Non-Federal Organizations
  • Utilize Space at HBCU, HSI, and TCU for Meetings
    and Workshops attended by GPD staff and grant
    recipients.
  • Visit Campuses
  • Attend Job Fairs
  • Conduct Grant Workshops for Faculty
  • Disseminate FEMA Materials

24
Locations of FEMA Regional Offices
Regional Office
25
GPD Outreach to Minority Institutions
  • Select at least one minority institution per
    HBCU, HSI, and TCU as a site for an event to
    support three minority institutions per fiscal
    year.
  • Next Steps
  • Identify event or activity planned for each
    institution.
  • Set date for event or activity.
  • Determine cost of event or activity.

26
Distribution of HBCUs, TCUs and HSIs
I
WA
ME
VT
MT
ND
II
X
NH
MN
OR
VIII
MA
ID
WI
NY
SD
MI
RI
WY
CT
V
Puerto Rico
PA
IA
IX
NE
NJ
NV
OH
Virgin Islands
IL
VII
IN
DE
UT
WV
CO
VA
III
MD
KS
KY
MO
CA
NC
DC (HSI and HBCU)
TN
OK
AZ
AR
SC
NM
IV
MS
VI
GA
AL
TX
LA
FL
  • American Samoa
  • Guam
  • U.S. Trust Territory of the Pacific Islands

Key
  • HBCU Historically Black Colleges and
    Universities
  • HSI Hispanic Serving Institutions
  • TCU Tribal Colleges and Universities

27
FEMA Grant Program Eligibility
  • Universities are Eligible to Be Grantees of
  • Competitive Training Grants Program
  • Fire Prevention Safety
  • Universities are Eligible as Sub-Grantees for
  • Homeland Security Grant Program
  • Pre-Disaster Mitigation Program
  • Public Assistance Grant Program

28
Workshop Overview
29
Workshop Objectives
  • Build Team Approach
  • Understand the Business Practices
  • Develop Networks Among Recipients and
    Subrecipients
  • Problem Solve on Specific Issues

30
FEMA Grants ManagementFrom the Top
31
Grants Management Business Process
  • Applies to All Grant Programs
  • Manages Resources
  • Creates Common Framework and Communication

32
Business Process The Grants Cycle
Funding Acquisition
Subrecipient Solicitation
Program Establishment
Subrecipient Selection
Project Modification
Application and Award
Monitoring
Close- Out
Payments
Reporting
Audits
33
Business Process The Grants Cycle
  • Fundamentals for Any Grant Program
  • Processes are Not Mutually Exclusive
  • Cycle Sequence is Important
  • Starts with Pre-Award and Ends with Post-Award

34
Pre-Award Business Practices
Funding Acquisition
Program Establishment
Subrecipient Solicitation
Subrecipient Selection
Application and Award
35
Post-Award Business Practices
Monitoring
Project Modification
Payments
Reporting
Audits and Close-out

36
Business Process The Grants Cycle
Funding Acquisition
37
Award and Terms Conditions
  • Award Notification to Grantee
  • Terms Conditions
  • Sign Award and Special Conditions

38
Setting Program Prioritiesfor the State/Territory
  • Determining Priorities and Capabilities
  • Support Homeland Security Strategic Goals
  • Identifying Initiatives, Investments and Projects
  • Consensus from State/Territory Advisory Board

39
Setting Program Priorities
  • Establish Subrecipient Grant Period
  • Determine Competitive/Non-Competitive Application
    Process

40
Business Process The Grants Cycle

Program Establishment
41
Establishing Policies and Procedures
  • All Grant Stages
  • Application
  • Award
  • Administration
  • Review

42
Establishing Your Program
  • Roles and Responsibilities
  • Policy, Program and Grants
  • Setting Goals and Priorities
  • First 100 Days

43
Establishing Your Program
  • Physical Location
  • Information Technology Requirements/Needs
  • CommunicationExternal
  • Public
  • Media Relations
  • AttorneysState, County, Other
  • SubrecipientsYour Customers

44
Establishing Your Program
  • CommunicationInternal
  • Written Policies/Procedures
  • Regular Staff Meetings
  • Dialogue with Senior Management

45
Establishing Your Program
  • Information Management
  • AccessibleShared with All Disciplines
  • RetrievableeGMS
  • Analyze Data to Improve Decision-making
  • Data Calls
  • Supportable

46
Establishing Your Program
  • Strong Financial Management System
  • Staffing Needs and StructureKey Positions
  • Integrating Policy, Program and Financial
  • Assistance from Other Agencies Memorandum of
    Understanding (MOU)

47
Establishing Your Program
  • Hiring Personnel
  • Management and Administrative (MA) Costs vs.
    Planning Costs
  • Position Descriptions
  • Posting Jobs and Interviewing
  • Background Checks - Time is
  • Consultant Contracts

48
Establishing Your Program
  • Training Personnel
  • Cross-training
  • Retention and Career Development
  • MA Use for Online Courses
  • MA BudgetTravel for Staff Training
  • Document and Evaluate Annually

49
Business Process The Grants Cycle

Subrecipient Solicitation
50
Prepare Applications and Guidelines
  • Integrate Priorities
  • Require Budget and Program Narratives
  • Incorporate Required Elements

51
Prepare Applications and Guidelines
  • Include Grant Terms and Conditions
  • Required Signatures
  • Include Example of Subgrant Application

52
Announce Funding and Priorities
  • Publish Funding Availability and Deadlines
  • Consider Conditional Grant Awards
  • Conduct Grant Application Workshops

53
Business Process The Grants Cycle
Subrecipient Selection
54
Develop Criteria, Review and Select
  • Policy, Program and Financial Grant Staffing
  • Compare Project with Goals
  • Supports Approved Initiatives and Investments
  • Cost Analysis of Budget, including Narrative

55
Develop Criteria, Review and Select
  • Necessity, Reasonableness, Appropriateness
  • Review by Program Office (PO)
  • Review Prior Subrecipient Performance

56
Business Process The Grants Cycle

Application and Award
57
Subawards and Release of Funds
  • Subrecipient Special Conditions
  • State Policies and Procedures
  • Reporting Forms and Instructions
  • Program Evaluation
  • Audit and Close-out Forms and Instructions

58
Financial Management
  • Organizing for Receipt of Federal Funds
  • Program v. Financial-Not Mutually Exclusive
  • Understanding Federal Requirements
  • Establishing Policies and Procedures

59
Financial Management Systems
  • Minimum Requirements for Financial System
  • Provide Financial/Performance Data
  • Required by A-102 and 2 CFR Part 215
  • Associate Grant Expenditures to Specific Funding
    Source
  • Provide Clear Audit Trail
  • Manage Cash Effectively

60
Financial Management Systems
  • Adequate Accounting Systems Require
  • Internal Controls
  • Ability to Test Internal Control
  • Chart of Accounts
  • Compliance with CMIA
  • Procedures Minimizing Federal Cash-on-Hand

61
Financial Management Systems
  • Adequate Accounting Systems Require
  • Track Expenditures (Budget Control)
  • Track both Financial and Program Budgets
  • Ensure Allowability of Costs Charged to Grants

62
Financial Management Systems
  • Adequate Accounting Systems Require
  • Documentation for All Grant-related Expenditures
  • Broken Down by Award
  • Fulfill Government-required Financial Reporting

63
Financial Management Systems
  • Must Record and Report Grant Funds
  • Receipt
  • Obligation
  • Expenditure

64
OMB Circulars Which Do I Follow?
  • State, (Territories), Local Governments and
    Indian Tribes
  • A-87 for Cost Principles
  • A-102 for Administrative Requirements
  • A-133 for Audit Requirements

65
OMB Circulars Which Do I Follow?
  • Educational Institutions, Hospitals and
    Non-Profits
  • A-21 for Cost Principles (Educ. Hospitals Only)
  • A-122 for Cost Principles (Non-Profits Only)
  • A-110 for Administrative Requirements
  • A-133 for Audit Requirements

66
Policies and Procedures
  • What?
  • Integrate Federal and State Policies
  • Develop Internal and External Forms and
    Procedures
  • Publish Formally

67
Policies and Procedures
  • Why?
  • Provides Documentation and Authorization
  • Tracks Modifications
  • Provides Accountability and Audit Compliance
  • Who?
  • Obtain Support Prior to Implementation

68
Procurement
  • Review Financial Guides and OMB Circulars
  • Identify Conditions Requiring Prior Approval
  • Develop Forms for Prior Approval

69
Procurement
  • Understand Differences Between Types
  • Competitive
  • Federal (GSA) or State Contract
  • Sole Source-Use is Discouraged
  • Emergency or Uniqueness

70
Procurement
  • Sole Source requirements in 44 Code of Federal
    Regulations (CFR) Part 13
  • Item only available from one source
  • Emergency
  • Awarding agency authorizes
  • After solicitation of a number of sources,
    competition deemed inadequate
  • Project Director and Local Procurement Official
    Signatures

71
Fiscal Matters
72
Fiscal MattersProceed with Caution
  • Allowable vs. Unallowable Costs
  • Prior Approval Costs
  • Renovations and Construction
  • Travel Authorizations

73
Fiscal MattersProceed with Caution
  • Time and Effort
  • Overtime and Backfill
  • Direct Costs
  • Indirect Costs

74
Fiscal MattersProceed with Caution
  • Supplantation
  • Consultants
  • Fair Market Value-cautious on sole sourcing
    contractors
  • Interest Earned/Program Income
  • Match

75
Fiscal MattersProceed with Caution
  • Cash Advance
  • Interest Earned (CMIA)
  • Outstanding Purchase Orders
  • Excessive Spending Near End of Grant Period
  • Records Retention

76
Business Process The Grants Cycle
Monitoring
77
Monitoring Visit
  • Conducted by Program Analyst
  • Two Types
  • DeskAdministrative Monitoring
  • On-siteStrategic Monitoring

78
Program Monitoring VisitDeskAdministrative
Monitoring
  • Office Based
  • Review Recipients Signed Grant Award
  • Review Signed Application (SF-424

79
DHS Program Monitoring VisitDeskAdministrative
Monitoring
  • National Environmental Policy Act (NEPA) Letter
  • Copies of Modifications / Amendments
  • Follow-up Letter with Findings

80
DHS Program Monitoring VisitOn-siteStrategic
Monitoring
  • Pre-visit
  • Review DHS Guidance (National Priorities,
    Planning Scenarios, TCL, etc.)
  • Review Current Fiscal Year Investments
  • Review Financial Monitoring Report(s) and
    Performance Report(s) for Follow-up

81
DHS Program Monitoring VisitOn-siteStrategic
Monitoring
  • Final Steps
  • Post-visit Letter (15 days)
  • Monitoring Report (30 days)

82
GPD Financial Monitoring VisitMission Ensure
Stewardship over Federal Funds Awarded
83
GPD Financial Monitoring Visit
  • GPD Does Not Conduct Audits
  • GPD Does Conduct
  • On-site Financial Reviews
  • Desk-based Financial Reviews
  • Resolution of Audit Reports
  • Technical Assistance to Grantees

84
GPD Financial Monitoring Visit
  • Pre-Visit Letter to Recipient
  • All Financial and Administrative Grant Files
  • List of Awardees and Files for Each Subaward
    Related to Each Grant
  • Policies and Procedures Manuals

85
GPD Financial Monitoring Visit
  • Pre-Visit Letter to Recipient
  • Detailed General Ledger (G/L) Reports
  • All Expenditures Charged to Each Grant Award
  • Financial Status Reports (SF-269a)
  • G/L Reconciliations for Each Quarter

86
GPD Financial Monitoring Visit
  • Pre-Visit Letter to Recipient
  • Supporting Documentation for All Expenditures
  • Invoices
  • Receipts
  • Purchase orders
  • Contracts

87
GPD Financial Monitoring Visit
  • Pre-Visit Letter to Recipient
  • Supporting Documentation for All Expenditures
  • Travel Authorization Forms/Travel Vouchers
  • Timecards
  • Payroll Registers

88
GPD Financial Monitoring Visit
  • Create Monitoring Profile
  • Program Office Monitoring Report
  • Audit Findings
  • Grant File Review
  • Pass-through Requirements
  • SF269 Analysis
  • Match Requirements

89
GPD Financial Monitoring Visit
  • ANALYZE, REVIEW and EVALUATE
  • Procurement Practices
  • Subrecipient Files (Programmatic and Financial)
  • Subrecipient Monitoring
  • Accounting System
  • Management and Administration (MA)
  • Inventory

90
GPD Financial Monitoring Visit
  • ANALYZE, REVIEW and EVALUATE
  • Policies and Procedures
  • Flow of Funds
  • Pass-through Requirements
  • File Documentation
  • SF269 Analysis
  • Payroll
  • Travel

91
GPD Financial Monitoring Visit Top Monitoring
Findings
  • Inventory Management Deficiencies
  • Inadequate Subrecipient Monitoring
  • Excess Cash on Hand
  • Grantee Has No Written Procedures

92
GPD Financial Monitoring Visit Top Monitoring
Findings
  • Project Period Expired
  • No Grant Adjustment Approving Extension
  • Failure to Manage Audit Results
  • Inadequate Accounting Procedures

93
GPD Financial Monitoring Visit Top Monitoring
Findings
  • Financial Status Reports Fail To Agree With
    Accounting Records
  • Questioned Expenditures
  • Untimely Submission of SF-269a Financial Status
    Reports

94
Case Study Monitoring Assistance to
Firefighters Grant (AFG) Program
95
Assistance to Firefighters Grant (AFG) Program
  • Financial Assistance directly to Fire Departments
    and non-affiliated EMS Organizations
  • 560 million for FY 2008
  • Fire Prevention Safety
  • Staffing for Adequate Fire Emergency Response
    (SAFER)

96
AFG Site Visit Preparation
  • Criteria for Selecting Grantees
  • State
  • Dollar Threshold
  • Diverse Sample
  • Contact and Correspondence
  • Confirmation Letter and Reviewer Checklist

97
AFG Monitoring PPPE
  • Procurement
  • Personnel
  • Property
  • Expenditures

98
AFG Monitoring Procurement
  • Local or State Written Procurement Policy
  • Specs, Bids, Quotes
  • Single Source Justification
  • Conflict of Interest

99
AFG Monitoring Personnel
  • Time Attendance (Fire Prevention SAFER)
  • Overtime Records (Training)
  • Rosters

100
AFG Monitoring Property
  • Inventory Maintenance Records
  • Fixed Asset Threshold
  • Physical Inventory of Equipment

101
AFG Monitoring Expenditures
  • Evidence of Expenditures to Include Purchase
    Orders, Receipts, and Canceled Checks
  • Tracking / Flow of Funds
  • A-133 Audit

102
Subrecipient Program and Financial Monitoring
103
Subrecipient Monitoring Purposes
  • Periodic Monitoring Required
  • Information Sharing and Gathering
  • Reinforce Priorities and Policies

104
Subrecipient Monitoring Benefits
  • Technical Assistance
  • Subrecipients Identify/Showcase Successes
  • Ensure Projects are on Track
  • Improve Communications/Process
  • Correct Shortfalls and Offer Solutions

105
Subrecipient Monitoring Different Approaches and
Types
  • Desk
  • Provides Documentation
  • Used When Staff Size is Limited
  • Short-Term Approach
  • Captures Limited Information

106
Subrecipient Monitoring Different Approaches and
Types
  • Site Visits
  • Staff/Team Approach
  • Direct Contact with Stakeholders
  • Projects and Players
  • Visual Project StatusBig Picture
  • Requires Follow-up

107
Subrecipient MonitoringTools and Resources
  • Federal Guidelines
  • OMB Circulars
  • Program Guidance (by Federal Fiscal Year)
  • State Requirements
  • Monitoring Checklistfor Consistency

108
Getting StartedTake the Temperature
109
Subrecipient Monitoring What to Expect
  • Determine General Health
  • Project Goals and Project Management
  • Staff Make Advance Notes
  • Areas Needing Special Attention
  • All Staff Talk (Policy, Program and Financial)
  • Most Recent Status

110
Subrecipient Monitoring What to Expect
  • Pre-Monitoring Letter/Email
  • Confirm Location, Date and Time
  • Name of Staff Conducting Monitoring
  • Subrecipient Representatives Required
  • Project Director and Financial Officer
  • Authorized OfficialProcurement Official(s)

111
Subrecipient Monitoring What to Expect
  • Pre-Monitoring Letter/Email
  • Monitoring Objectives
  • Materials/Equipment Necessary for Monitoring
  • Inventory InspectionLocation
  • Grant File(s)
  • Programmatic and Financial Records
  • Grant-funded Personnel

112
Subrecipient Monitoring What to Expect
  • Compare Grant FilesYours and Theirs
  • Signed Grant Award
  • Final Application (Program/Financial Pages)
  • Met Special Conditions
  • Personnel StatusPosition Descriptions?,
    Interviewing?, Hiring?
  • Status of Procurement, Revisions, etc.

113
Subrecipient Monitoring What to Expect
  • Review Grant File(s) Folder
  • Previous Monitoring Reports/Correspondence
  • Compliance with Deadlines
  • Progress and Financial Reports
  • Fiscal Information
  • Invoices, Payments, Backup, POs

114
Subrecipient MonitoringSuggested Grant File
Format
Label each tab
1. Correspondence
1. Correspond.
2. Blank Forms, POC Info.
3. Financial-Payments-Special Cond.
4. Application, Signed Award, GANs
5. Review Audit Resolution
6. Progress Monitoring Reports
115
Subrecipient Monitoring What to Expect
  • Post Monitoring Letter (Desk or On-site)
  • Agreed-upon Modifications
  • Remaining Compliance Issues
  • Recommendations for Improvements

116
Subrecipient Monitoring What to Expect from the
SAA?
  • Post Monitoring Letter (Desk or On-site)
  • Recognition of Progress and Successes
  • Deadline for Response, if Applicable
  • Copied to Authorized Official

117
Business Process The Grants Cycle
Project Modification
118
Project Modification
  • Change in Budget or Project Scope/Focus
  • Grant Revisions and Grant Extensions
  • Examples
  • Programmatic Change in Strategy Objectives
  • Financial Re-budgeting Remaining Funds

119
Project Modification
  • Grant Revisions and Grant Extensions
  • Requires Pre-Approval from awarding Agency
  • Must Meet Original Program Intent
  • Allowable Costs from FY Program Guidance
  • Strong Justification for Review/Approval

120
Project Modification
  • Document Approval
  • Compliant with OMB Circulars
  • Federal Guidelines
  • Allowable, Allocable, Reasonable

121
Project Modification
  • Comply with Grant Terms and Conditions
  • Program Restrictions
  • Unallowable Costs
  • Be Prepared to Extend Grant Periods

122
Business Process The Grants Cycle
Payments
123
Reimbursement
  • Funds Disbursed as Costs Incurred
  • Based upon Immediate Disbursement and
    Reimbursement
  • Limit Cash on Hand

124
Reimbursement
  • Subrecipient Requests for Reimbursement
  • Not Exceed Total Grant Award or Unallowable Cost

125
Advance
  • Cash Management Improvement Act
  • Interest-Bearing Account
  • 100 Annually for State/Local 250 for
    Non-profits
  • Remit Earned Interest Quarterly

126
Things to Consider
  • Provide Examples
  • Invoices
  • Purchase Orders
  • Requests for Reimbursement
  • Unallowable Costs, etc.

127
Things to Consider
  • Withhold Payments Advance or Reimbursement
  • Subrecipients Inability to Submit Reliable
    and/or Timely Reports
  • Improper Administration of Subawards

128
Secrets for Success
129
Secrets for Success
  • Your Role in Grant Administration
  • Administrative Tools
  • Resources

130
Secrets for Success
  • Partnership - Partnership Partnership
  • Clear and Concise Communication
  • Develop Policies and Procedures
  • Participate in Training Opportunities (Workshops)

131
Secrets for Success
  • Keep Your Eye on Strategy
  • Goals, Objectives, and Priorities
  • Focus on What Matters Most
  • Be a Change Agent

132
Secrets for Success
  • Set Realistic Goals
  • Cross Train Personnel
  • Use Technology Preferably Someone Else's
  • Scan Your Environment

133
Workshop Conclusions
  • You Understand the Business Practices
  • You Know the Critical Events
  • You Learned to Problem Solve

134
Workshop Conclusions
  • You Can Build a Team Approach
  • You Identified Promising Practices
  • You Developed Networking Methods

135
Contact Information
  • Donna Simmons, FEMA/GPD Acting Training Branch
    Chief
  • (202) 786-9579
  • Donna.Simmons_at_dhs.gov
  • Vanessa Pert, FEMA/GPD Grants Management
    Specialist
  • (202) 786-9564
  • Vanessa.Pert_at_dhs.gov
  • FEMA Centralized Scheduling and Information Desk
  • 1-800-368-6498
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