Grants made easy awarding and monitoring federal grants
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Grants Made Easy: Awarding and Monitoring Federal Grants. Presented for the workshop at UMD School of Business sponsored by Governor’s Grants Office and Washington D.C. Mayor’s Office of Partnerships and Grant Services. G P D. Grant Programs Directorate.

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Grants made easy awarding and monitoring federal grants

Grants Made Easy: Awarding and Monitoring Federal Grants

Presented

for the workshop at UMD School of Business sponsored by

Governor’s Grants Office and Washington D.C. Mayor’s Office of Partnerships and Grant Services

G P D

Grant Programs Directorate


Fema grant programs directorate gpd

FEMA Grant Programs Directorate (GPD)

Our Mission…

To provide a unified, solutions oriented approach to federal

financial assistance management in support of FEMA’s

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.


Scope of fema grant programs

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


Fy 2007 grant awards

FY 2007 Grant Awards

Type of GrantsNumber of Awards FY 2007

Assistance to Firefighters Grants6436$ 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


Grants made easy awarding and monitoring federal grants

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


Grants made easy awarding and monitoring federal grants

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

    • Public Safety Interoperable Communications (PSIC) Program

    • Emergency Management Performance Grant (EMPG)

    • Real ID Grant Program

Color Code

HQ Grant Programs

Currently in Regions

*Direct Federal Assistance, loan, stipend programs


Grants made easy awarding and monitoring federal grants

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


Evolution of gpd

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 (G&T)

  • 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


Grant programs directorate gpd

Grant Programs Directorate (GPD)

Office of the Assistant Administrator for

Grant Programs

W. Ross Ashley III

Grant Development & Administration Division (GD&A)

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)


Grant development admin gd a

Grant Development and Administration (GD&A)

Grant Development & Admin. – GD&A

Regional Operations & Business Support

Homeland Security Programs

Transportation Infrastructure Support

Assistance to Firefighters

Program

Development


Gd a assistance to firefighters afg

GD&A - 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)


Gd a transportation infrastructure security

GD&A - Transportation Infrastructure Security

  • Programmatic grant oversight for the majority of Infrastructure Protection Program (IPP) components

  • Key programs include

    IBSGP, PSGP

    and TSGP


Gd a homeland security programs

GD&A - Homeland Security Programs

  • Programmatic grant

    oversight for Homeland

    Security Preparedness Programs

  • Key programs include

    EMPG and HSGP (CCP, MMRS, SHSP, and UASI)


Gd a program development

GD&A - 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


Bsda and fao

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


Bsda fao has 7 functional areas

BSDA/FAO has 7 Functional Areas

  • Policy

  • Regional Operations

  • Operations (HQ)

  • Systems

  • Training

  • Reporting and Analysis

  • Audit (A-133)


Functional areas

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.


Compliance

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


Standardization

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.


Internal controls

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.


Gpd outreach to minority institutions

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 – President’s Board of Advisors on Historically Black Colleges and Universities (HBCU)

  • Executive Order 13230 – President’s Advisory Commission on Educational Excellence for Hispanic Americans (HSI)

  • Executive Order 13270 – Tribal Colleges and Universities (TCU)


Gpd outreach to minority institutions1

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


Gpd outreach to minority institutions2

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


Locations of fema regional offices

Locations of FEMA Regional Offices

= Regional Office


Gpd outreach to minority institutions3

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.


Grants made easy awarding and monitoring federal grants

AK

HI

Distribution of HBCUs, TCUs and HSIs

I

WA

ME

VT

MT

ND

II

X

NH

MN

VIII

OR

MA

ID

WI

NY

SD

MI

RI

WY

V

CT

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


Fema grant program eligibility

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


Workshop overview

Workshop Overview


Workshop objectives

Workshop Objectives

  • Build Team Approach

  • Understand the Business Practices

  • Develop Networks Among Recipients and Subrecipients

  • Problem Solve on Specific Issues


Fema grants management from the top

FEMA Grants ManagementFrom the Top


Grants management business process

Grants Management Business Process

  • Applies to All Grant Programs

  • Manages Resources

  • Creates Common Framework and Communication


Business process the grants cycle

Business Process = The Grants Cycle

Funding

Acquisition

Subrecipient

Solicitation

Program

Establishment

Subrecipient

Selection

Project

Modification

Application

and Award

Monitoring

Close-

Out

Payments

Reporting

Audits


Business process the grants cycle1

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


Pre award business practices

Pre-Award Business Practices

Funding

Acquisition

Program

Establishment

Subrecipient

Solicitation

Subrecipient

Selection

Application

and Award


Post award business practices

Post-Award Business Practices

Monitoring

Project

Modification

Payments

Reporting

Audits and

Close-out


Business process the grants cycle2

Business Process = The Grants Cycle

Funding Acquisition


Award and terms conditions

Award and Terms & Conditions

  • Award Notification to Grantee

  • Terms & Conditions

  • Sign Award and Special Conditions


Setting program priorities for the state territory

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


Setting program priorities

Setting Program Priorities

  • Establish Subrecipient Grant Period

  • Determine Competitive/Non-Competitive Application Process


Business process the grants cycle3

Business Process = The Grants Cycle

Program

Establishment


Establishing policies and procedures

Establishing Policies and Procedures

  • All Grant Stages

    • Application

    • Award

    • Administration

    • Review


Establishing your program

Establishing Your Program

  • Roles and Responsibilities

    • Policy, Program and Grants

  • Setting Goals and Priorities

  • First 100 Days


Establishing your program1

Establishing Your Program

  • Physical Location

  • Information Technology Requirements/Needs

  • Communication…External

    • Public

    • Media Relations

    • Attorneys…State, County, Other

    • Subrecipients…Your Customers


Establishing your program2

Establishing Your Program

  • Communication…Internal

    • Written Policies/Procedures

    • Regular Staff Meetings

    • Dialogue with Senior Management


Establishing your program3

Establishing Your Program

  • Information Management

    • Accessible…Shared with All Disciplines

    • Retrievable…eGMS

    • Analyze Data to Improve Decision-making

    • Data Calls

    • Supportable


Establishing your program4

Establishing Your Program

  • Strong Financial Management System

  • Staffing Needs and Structure…Key Positions

  • Integrating Policy, Program and Financial

  • Assistance from Other Agencies… Memorandum of Understanding (MOU)


Establishing your program5

Establishing Your Program

  • Hiring Personnel

    • Management and Administrative (M&A) Costs vs. Planning Costs

    • Position Descriptions

    • Posting Jobs and Interviewing

    • Background Checks - Time is $

    • Consultant Contracts


Establishing your program6

Establishing Your Program

  • Training Personnel

    • Cross-training

    • Retention and Career Development

    • M&A Use for Online Courses

    • M&A Budget…Travel for Staff Training

    • Document and Evaluate Annually


Business process the grants cycle4

Business Process = The Grants Cycle

Subrecipient

Solicitation


Prepare applications and guidelines

Prepare Applications and Guidelines

  • Integrate Priorities

  • Require Budget and Program Narratives

  • Incorporate Required Elements


Prepare applications and guidelines1

Prepare Applications and Guidelines

  • Include Grant Terms and Conditions

  • Required Signatures

  • Include Example of Subgrant Application


Announce funding and priorities

Announce Funding and Priorities

  • Publish Funding Availability and Deadlines

  • Consider Conditional Grant Awards

  • Conduct Grant Application Workshops


Business process the grants cycle5

Business Process = The Grants Cycle

Subrecipient

Selection


Develop criteria review and select

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


Develop criteria review and select1

Develop Criteria, Review and Select

  • Necessity, Reasonableness, Appropriateness

  • Review by Program Office (PO)

  • Review Prior Subrecipient Performance


Business process the grants cycle6

Business Process = The Grants Cycle

Application

and Award


Subawards and release of funds

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


Financial management

Financial Management

  • Organizing for Receipt of Federal Funds

  • Program v. Financial-Not Mutually Exclusive

  • Understanding Federal Requirements

  • Establishing Policies and Procedures


Financial management systems

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


Financial management systems1

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


Financial management systems2

Financial Management Systems

  • “Adequate” Accounting Systems Require

    • Track Expenditures (Budget Control)

    • Track both Financial and Program Budgets

    • Ensure Allowability of Costs Charged to Grants


Financial management systems3

Financial Management Systems

  • “Adequate” Accounting Systems Require

    • Documentation for All Grant-related Expenditures

      • Broken Down by Award

    • Fulfill Government-required Financial Reporting


Financial management systems4

Financial Management Systems

  • Must Record and Report Grant Funds

    • Receipt

    • Obligation

    • Expenditure


Omb circulars which do i follow

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


Omb circulars which do i follow1

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


Policies and procedures

Policies and Procedures

  • What?

    • Integrate Federal and State Policies

    • Develop Internal and External Forms and Procedures

    • Publish Formally


Policies and procedures1

Policies and Procedures

  • Why?

    • Provides Documentation and Authorization

    • Tracks Modifications

    • Provides Accountability and Audit Compliance

  • Who?

    • Obtain Support Prior to Implementation


Procurement

Procurement

  • Review Financial Guidesand OMB Circulars

  • Identify Conditions Requiring Prior Approval

  • Develop Forms for Prior Approval


Procurement1

Procurement

  • Understand Differences Between Types

    • Competitive

    • Federal (GSA) or State Contract

    • Sole Source-Use is Discouraged

      • Emergency or Uniqueness


Procurement2

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


  • Fiscal matters

    Fiscal Matters


    Fiscal matters proceed with caution

    Fiscal Matters…Proceed with Caution

    • Allowable vs. Unallowable Costs

    • Prior Approval Costs

    • Renovations and Construction

    • Travel Authorizations


    Fiscal matters proceed with caution1

    Fiscal Matters…Proceed with Caution

    • Time and Effort

    • Overtime and Backfill

    • Direct Costs

    • Indirect Costs


    Fiscal matters proceed with caution2

    Fiscal Matters…Proceed with Caution

    • Supplantation

    • Consultants

      • Fair Market Value-cautious on sole sourcing contractors

    • Interest Earned/Program Income

    • Match


    Fiscal matters proceed with caution3

    Fiscal Matters…Proceed with Caution

    • Cash Advance

      • Interest Earned (CMIA)

    • Outstanding Purchase Orders

    • Excessive Spending Near End of Grant Period

    • Records Retention


    Business process the grants cycle7

    Business Process = The Grants Cycle

    Monitoring


    Monitoring visit

    Monitoring Visit

    • Conducted by Program Analyst

    • Two Types

      • Desk…Administrative Monitoring

      • On-site…Strategic Monitoring


    Program monitoring visit desk administrative monitoring

    Program Monitoring VisitDesk…Administrative Monitoring

    • Office Based

    • Review Recipient’s Signed Grant Award

    • Review Signed Application (SF-424


    Dhs program monitoring visit desk administrative monitoring

    DHS Program Monitoring VisitDesk…Administrative Monitoring

    • National Environmental Policy Act (NEPA) Letter

    • Copies of Modifications / Amendments

    • Follow-up Letter with Findings


    Dhs program monitoring visit on site strategic monitoring

    DHS Program Monitoring VisitOn-site…Strategic 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


    Dhs program monitoring visit on site strategic monitoring1

    DHS Program Monitoring VisitOn-site…Strategic Monitoring

    • Final Steps

      • Post-visit Letter (15 days)

      • Monitoring Report (30 days)


    Gpd financial monitoring visit mission ensure stewardship over federal funds awarded

    GPD Financial Monitoring VisitMission: Ensure Stewardship over Federal Funds Awarded


    Gpd financial monitoring visit

    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


    Gpd financial monitoring visit1

    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


    Gpd financial monitoring visit2

    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


    Gpd financial monitoring visit3

    GPD Financial Monitoring Visit

    • Pre-Visit Letter to Recipient

      • Supporting Documentation for All Expenditures

        • Invoices

        • Receipts

        • Purchase orders

        • Contracts


    Gpd financial monitoring visit4

    GPD Financial Monitoring Visit

    • Pre-Visit Letter to Recipient

      • Supporting Documentation for All Expenditures

        • Travel Authorization Forms/Travel Vouchers

        • Timecards

        • Payroll Registers


    Gpd financial monitoring visit5

    GPD Financial Monitoring Visit

    • Create Monitoring Profile

      • Program Office Monitoring Report

      • Audit Findings

      • Grant File Review

      • Pass-through Requirements

      • SF269 Analysis

      • Match Requirements


    Gpd financial monitoring visit6

    GPD Financial Monitoring Visit

    • ANALYZE, REVIEW and EVALUATE

      • Procurement Practices

      • Subrecipient Files (Programmatic and Financial)

      • Subrecipient Monitoring

      • Accounting System

      • Management and Administration (M&A)

      • Inventory


    Gpd financial monitoring visit7

    GPD Financial Monitoring Visit

    • ANALYZE, REVIEW and EVALUATE

      • Policies and Procedures

      • Flow of Funds

      • Pass-through Requirements

      • File Documentation

      • SF269 Analysis

      • Payroll

      • Travel


    Gpd financial monitoring visit top monitoring findings

    GPD Financial Monitoring Visit Top Monitoring Findings

    • Inventory Management Deficiencies

    • Inadequate Subrecipient Monitoring

    • Excess Cash on Hand

    • Grantee Has No Written Procedures


    Gpd financial monitoring visit top monitoring findings1

    GPD Financial Monitoring Visit Top Monitoring Findings

    • Project Period Expired

      • No Grant Adjustment Approving Extension

    • Failure to Manage Audit Results

    • Inadequate Accounting Procedures


    Gpd financial monitoring visit top monitoring findings2

    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


    Case study monitoring assistance to firefighters grant afg program

    Case Study: MonitoringAssistance to Firefighters Grant (AFG) Program


    Assistance to firefighters grant afg program

    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)


    Afg site visit preparation

    AFG Site Visit Preparation

    • Criteria for Selecting Grantees

      • State

      • Dollar Threshold

      • Diverse Sample

    • Contact and Correspondence

      • Confirmation Letter and Reviewer Checklist


    Afg monitoring pppe

    Procurement

    Personnel

    Property

    Expenditures

    AFG MonitoringPPPE


    Afg monitoring procurement

    Local or State Written Procurement Policy

    Specs, Bids, & Quotes

    Single Source Justification

    Conflict of Interest

    AFG Monitoring: Procurement


    Afg monitoring personnel

    AFG Monitoring: Personnel

    • Time & Attendance (Fire Prevention & SAFER)

    • Overtime Records (Training)

    • Rosters


    Afg monitoring property

    AFG Monitoring: Property

    • Inventory & Maintenance Records

    • Fixed Asset Threshold

    • Physical Inventory of Equipment


    Afg monitoring expenditures

    AFG Monitoring: Expenditures

    • Evidence of Expenditures to Include Purchase Orders, Receipts, and Canceled Checks

    • Tracking / Flow of Funds

    • A-133 Audit


    Subrecipient program and financial monitoring

    Subrecipient Program and Financial Monitoring


    Subrecipient monitoring purposes

    Subrecipient Monitoring: Purposes

    • Periodic Monitoring Required

    • Information Sharing and Gathering

    • Reinforce Priorities and Policies


    Subrecipient monitoring benefits

    Subrecipient Monitoring: Benefits

    • Technical Assistance

    • Subrecipients Identify/Showcase Successes

    • Ensure Projects are on Track

    • Improve Communications/Process

    • Correct Shortfalls and Offer Solutions


    Subrecipient monitoring different approaches and types

    Subrecipient Monitoring Different Approaches and Types

    • Desk

      • Provides Documentation

      • Used When Staff Size is Limited

      • Short-Term Approach

      • Captures Limited Information


    Subrecipient monitoring different approaches and types1

    Subrecipient Monitoring Different Approaches and Types

    • Site Visits

      • Staff/Team Approach

      • Direct Contact with Stakeholders

        • Projects and Players

      • Visual Project Status…Big Picture

      • Requires Follow-up


    Subrecipient monitoring tools and resources

    Subrecipient MonitoringTools and Resources

    • Federal Guidelines

      • OMB Circulars

      • Program Guidance (by Federal Fiscal Year)

    • State Requirements

    • Monitoring Checklist…for Consistency


    Getting started take the temperature

    Getting Started…Take the Temperature


    Subrecipient monitoring what to expect

    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


    Subrecipient monitoring what to expect1

    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 Official…Procurement Official(s)


    Subrecipient monitoring what to expect2

    Subrecipient Monitoring What to Expect

    • Pre-Monitoring Letter/Email

      • Monitoring Objectives

      • Materials/Equipment Necessary for Monitoring

        • Inventory Inspection…Location

        • Grant File(s)

        • Programmatic and Financial Records

        • Grant-funded Personnel


    Subrecipient monitoring what to expect3

    Subrecipient Monitoring What to Expect

    • Compare Grant Files…Yours and Theirs

      • Signed Grant Award

      • Final Application (Program/Financial Pages)

      • Met Special Conditions

      • Personnel Status…Position Descriptions?, Interviewing?, Hiring?

      • Status of Procurement, Revisions, etc.


    Subrecipient monitoring what to expect4

    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


    Grants made easy awarding and monitoring federal grants

    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


    Subrecipient monitoring what to expect5

    Subrecipient Monitoring What to Expect

    • Post Monitoring Letter (Desk or On-site)

      • Agreed-upon Modifications

      • Remaining Compliance Issues

      • Recommendations for Improvements


    Subrecipient monitoring what to expect from the saa

    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


    Business process the grants cycle8

    Business Process = The Grants Cycle

    Project Modification


    Project modification

    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


    Project modification1

    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


    Project modification2

    Project Modification

    • Document Approval

    • Compliant with OMB Circulars

    • Federal Guidelines

    • Allowable, Allocable, Reasonable


    Project modification3

    Project Modification

    • Comply with Grant Terms and Conditions

    • Program Restrictions

    • Unallowable Costs

    • Be Prepared to Extend Grant Periods


    Business process the grants cycle9

    Business Process = The Grants Cycle

    Payments


    Reimbursement

    Reimbursement

    • Funds Disbursed as Costs Incurred

    • Based upon Immediate Disbursement and Reimbursement

      • Limit Cash on Hand


    Reimbursement1

    Reimbursement

    • Subrecipient Requests for Reimbursement

    • Not Exceed Total Grant Award or Unallowable Cost


    Advance

    Advance

    • Cash Management Improvement Act

      • Interest-Bearing Account

        • $100 Annually for State/Local; $250 for Non-profits

      • Remit Earned Interest Quarterly


    Things to consider

    Things to Consider

    • Provide Examples

      • Invoices

      • Purchase Orders

      • Requests for Reimbursement

      • Unallowable Costs, etc.


    Things to consider1

    Things to Consider

    • Withhold Payments: Advance or Reimbursement

      • Subrecipient’s Inability to Submit Reliable and/or Timely Reports

      • Improper Administration of Subawards


    Secrets for success

    Secrets for Success


    Secrets for success1

    Secrets for Success

    • Your Role in Grant Administration

    • Administrative Tools

    • Resources


    Secrets for success2

    Secrets for Success

    • Partnership - Partnership – Partnership

    • Clear and Concise Communication

    • Develop Policies and Procedures

    • Participate in Training Opportunities (Workshops)


    Secrets for success3

    Secrets for Success

    • Keep Your Eye on Strategy

      • Goals, Objectives, and Priorities

    • Focus on What Matters Most

    • Be a Change Agent


    Secrets for success4

    Secrets for Success

    • Set Realistic Goals

    • Cross Train Personnel

    • Use Technology – Preferably Someone Else's

    • Scan Your Environment


    Workshop conclusions

    Workshop Conclusions

    • You Understand theBusiness Practices

    • You Know theCritical Events

    • You Learned toProblem Solve


    Workshop conclusions1

    Workshop Conclusions

    • You Can Build a Team Approach

    • You IdentifiedPromising Practices

    • You DevelopedNetworking Methods


    Contact information

    Contact Information

    • Donna Simmons, FEMA/GPD Acting Training Branch Chief

      • (202) 786-9579

      • [email protected]

    • Vanessa Pert, FEMA/GPD Grants Management Specialist

      • (202) 786-9564

      • [email protected]

    • FEMA Centralized Scheduling and Information Desk

      • 1-800-368-6498


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