Grants Processing, Award, Administration, Closeout

1. Grants Processing, Award, Administration, & Closeout Marcus Carpenter, Kathleen Monahan, Dennis Hadrick, & Georgia Hubert (OPE) November 6, 2007

2. 2 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

3. 3 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

4. 4 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

5. 5 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

6. 6 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)

7. 7 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

8. 8 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

9. 9 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

10. 10 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

11. 11 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

12. 12 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�

13. 13 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)

14. 14 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!

15. 15 GRANTS CLOSEOUT Grantee Responsibilities Government Responsibilities Record Keeping Requirements

16. 16 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

17. 17 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

18. 18 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

19. 19 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

20. 20 QUESTIONS?