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This article discusses the major changes and improvements in the federal grants management process, including the reinvigoration of the Grants Policy Committee and the measurable targets set by Grants.gov. It also provides information on the Federal Financial Assistance Management Improvement Act and the activities undertaken in the pre-award, post-award, and audit oversight stages. The article concludes with future plans to consolidate cost principles and further streamline the grant application and reporting requirements.
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Federal Grants Streamlining Michael Nelson Director, Grants Management Division
Major Changes Since Last Year: • Grants Policy Committee Reinvigorated by • Tom Cooley, Chief Financial Officer of the • National Science Foundation, and Susan • Grant, CFO of the Department of Energy • Grants.gov has measurable targets for find • and apply that are substantially higher for all • federal grant making agencies • Government Accountability Office is now • actively tracking progress
Federal Financial Assistance Management Improvement Act • Also known as Public Law 106-107 • Initial plan developed against which all agencies • are being judged was developed • Plan is at: http://www.hhs.gov/grantsnet/ • pl106-107final.pdf
Sec. 3. Purposes • The purposes of this Act are to— • Improve the effectiveness and performance • of Federal financial assistance programs; • (2)Simplify Federal financial assistance application • and reporting requirements • (3)Improve the deliver of services to the public; and • (4)Facilitate greater coordination among those • responsible for delivering such services
Activities • Five topic areas: • Pre-Award • 2. Mandatory • 3. Post-Award • 4. Audit Oversight • 5. Training and Certification
Done/In Process/Future Done: 1. Standard opportunity announcement format 2. Standard application forms and data elements 3. Include virtually all assurances in announcement and terms and conditions (not in application) 4. DUNS number requirement
Done/In Process/Future Done: 5. Grants.gov “Find” data elements developed 6. Single Governmentwide Debarment and Suspension (Non-procurement) and Government- wide Requirement for Drug-Free Workplace (Grant) Rule published 7. Title 2 established for all grant regulations 8. Cost circulars, Administrative Circular for non- governments, and Suspension and Debarment guidance moved to Title 2.
Done/In Process/Future • In Process: • Drug-free workplace guidance • 2. Central Contractor Registry standard policies • 3. Single administrative requirements • guidance to agencies • 4. Working with the Federal Demonstration • Partnership on standard terms and conditions
Done/In Process/Future • Future: • Standardize Notice of Award • Place agency specific regulations in • Title 2, Part B • Continue to improve and standardize • application data elements
Done/In Process/Future • Done: • Developed and deployed the SF-424M (standard • cover page) • 2. Approved additional forms (already in use by • discretionary grants) for Mandatory applications • In Process: • Terms and conditions • Policy for application use
Done/In Process/Future • Future: • Consistent application requirements • 2. Consistent reporting requirements
Done/In Process/Future Done: Payments 1. Either ASAP or PMS had to be chosen 2. Pooled payments is an option Cost Principles Simplification of three sets of cost principles
Done/In Process/Future In Process: Payments Survey of utilization of ASAP and PMS by agencies Indirect Cost Uniform Guidance Handbook Requirements document being finalized
Done/In Process/Future • In Process: • Reports • Inventions – to be used to report all inventions • conceived or put into practice using grant funds • a. Data elements developed • b. Utilize iEdison • c. Working on policy statement
Done/In Process/Future • 2. Federal Financial Report – to report cash outlays • and expenditures, obligations, cost sharing, and • program income • Form finalized • Data elements finalized • Pilot test currently at the Payment Management • System of Health and Human Services • d. If approved, will go out from OMB for final • agency utilization
Done/In Process/Future • 3. Real Property Report – status report on Real • Property or request agency instructions on • disposition: • Reviewed and commented upon by federal • agencies • b. Notice being prepared for Federal Register
Done/In Process/Future • 4. Personal Property Report – status report of • certain grantee owned equipment and/or • federally owned equipment: • Initial format being reconsidered • Issues regarding status versus disposition • Non-Federal reporting for select equipment • d. Federally owned of intense interest
Done/In Process/Future • 5. Program Performance Report – to report on all • Progress by recipients other than research awards. • Format developed • Agency comments received and acted upon • Revisions to administrative requirements being • worked on • d. Next step is for Federal Register Notice
Done/In Process/Future • 6. Research Report – to be used by all recipients • of research grants and cooperative agreements. • Developed by an interagency team • Reviewed and analyzed by all research funding • agencies • c. Approved for Federal Register Notice
Done/In Process/Future Future: 1. Consolidate Cost Principles 2. Reduce Payment Systems 3. Further simplify and standardize all reports
Done/In Process/Future Done: 1. Threshold for audit raised to $500,000 of expenditures per year. 2. Pamphlet completed: Highlights of the Single Audit Process http://www.dol.oig.gov/public/reports/oa/ Documents/singleauditcfoBrochure.pdf
Done/In Process/Future • In Process: • Review of data elements, instructions, and • appearance of Single Audit Clearinghouse • information collection • 2. Update compliance supplement for accuracy • and consistency • 3. Review of audit quality performed by • CPA firms
Done/In Process/Future • Review of audit quality performed by CPA firms • Audit Policy issues being reviewed
Done/In Process/Future Future: 1. Improve services provided by Single Audit Clearinghouse 2. Develop single audit policy for all recipient organizations
Training and Oversight
Done/In Process/Future • In Process: • Federal and non-Federal training curriculums are • being reviewed for recommendations • 2. Competencies for grants managers are • being developed • 3. Certification requirements are being • reviewed • 4. A database of current knowledge and • competencies is in the planning phase
Done/In Process/Future • Future: • 1. Standard training for all grant managers • 2. Standard abilities and competencies • defined government-wide • 3. A process for certifying current and • future grant managers will be • Developed • 4. Government-wide data base will be • built
Public Law 106-107 • The law sunsets in November, 2007 • OMB and the grant making agencies have a mandate to comply with the Act. • Annual reports to Congress are being • closely scrutinized • 4. Agency budgets are being impacted • based on their compliance with the Act • 5. Most agencies take their responsibilities • seriously and are participating in all of • these efforts.
