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Grants Management 101: Understanding Federal Grants Processes. NASTAD “University” 2009 NASTAD Annual Meeting. Topics To Be Covered. Tips and Peer-based Problem Solving Grants Management Definitions and Overviews CDC/HRSA Grants Management Policies Practical Tips from Peers

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grants management 101 understanding federal grants processes

Grants Management 101: Understanding Federal Grants Processes

NASTAD “University”

2009 NASTAD Annual Meeting

topics to be covered
Topics To Be Covered
  • Tips and Peer-based Problem Solving
  • Grants Management Definitions and Overviews
  • CDC/HRSA Grants Management Policies
  • Practical Tips from Peers

By the end of this session, you will be able to define …

  • IPRs and APRs and Continuation Applications
  • Supplemental Applications
  • Notice of Grant Award (NGA)
  • Financial Status Reports (FSRs)
  • Carryover
understanding federal grants process
Understanding Federal Grants Process

#1 Rule of Thumb: Your Project Officer is your Friend

  • Serves as a liaison with the grants management office
  • Helps interpret and translate FOAs and other requirements
  • Your advocate inside the agency
the budget process
The Budget Process
  • Congress Appropriates
  • Agencies Get their Budgets
  • Agencies Make Funding Awards

Process Is Not Always Smooth, Impacting HDs Through….

  • Continuing Resolutions
  • Partial Awards
funding opportunity announcement foa
Funding Opportunity Announcement (FOA):


  • Announcement of funding availability
  • Also called a “program announcement”
  • Specific numbers for federal FOAs – often the shorthand for that program

Funding award types:

  • Cooperative agreement
  • Grant
  • Contract
funding opportunity announcements
Funding Opportunity Announcements

Funding Award Length:

  • Usually 3-5 years
  • Ryan White Program - length depends on authorizing language

Access FOAs at

funding awards
Funding Awards

Notice of Grant Award (NGA)

  • Indicates award amount
  • Includes specific “Terms and Conditions”
  • Summary Statement/Technical Review (TR)

The NGA and all the references are legally binding documents 

funding awards1
Funding Awards

Request for Negotiation

  • If revised budget required
  • To clarify points in the TR

Approval required for any ….

  • Changes in excess of 25 percent of the total cumulative award, or $250,000, whichever is less
major federal funding awards to states
Major Federal Funding Awards to States

CDC: 04012

  • Current prevention program CoAg #
  • Funded on January – December cycle
  • A two-tear “bridge” funding opportunity announcement (FOA) will be issued in 2009 for a start date in 2010
  • Amount based on combination of impact and historical experience with supplemental funding
major federal funding awards to states1
Major Federal Funding Awards to States

HRSA: Ryan White Program, Part B

  • Formerly called “Title II” under previous authorization
  • Includes funding to state health departments for care and treatment services
  • AIDS Drug Assistance Program (ADAPs)
  • Funded on April – March cycle
  • Authorized through Ryan White Program legislation, with specific funding formulas
federal grants management organization
Federal Grants Management Organization

Grants Management Offices

  • Responsible for the business/non-programmatic administration of grant
  • Each award assigned a grants management specialist
    • CDC: Procurement and Grants Office (PGO)
    • HRSA: Grants Management Office (GMO)
financial status report fsr
Financial Status Report (FSR)
  • Annual report of expenditures
  • Includes unobligated balances
  • Includes unliquidated, obligated funds
    • Reported on Federal Form 269
    • Due no later than 90 days after the close of the budget period.

Example: If your budget period ends Sept. 30, 2009, your FSR is due December 30, 2009.

financial status reports fsrs
Financial Status Reports (FSRs)

Unobligated Balance:

  • Portion of funds awarded by the federal agency not obligated by the recipient

Example: Grantee anticipated buying new computers, but decided that the old computer would be sufficient to meet the needs for the remainder of the budget period

Unliquidated Obligation:

  • Obligation that has not been paid

Example: Grantee purchased 5 computers but has not paid for the computers. (Must document obligation)

financial status reports fsrs1
Financial Status Reports (FSRs)

Revised FSRs Are Required

  • When grantee overcharged and there’s a balance due the federal agency
  • Upon discovery of an error

Must be submitted …

  • No later than one (1) year from due date (fifteen months following the end of the budget period)
  • Must include written explanation of the revision


  • A request to “carry over” funds not obligated into next budget period
  • Requests should include:
    • Grant/CoAg #
    • Rationale or need for carryover
    • Budget
    • Contact information and signatures
  • FSR and progress report must be current to request carryover

Additional Carryover Policies …

  • Only for one time needs
  • Received by grants management office 120 days before the end of the budget period
  • Funds from previous budget periods are available
    • CDC’s PGO recently changed this to allow requests of more than the previous year funds
progress reports and policies
Progress Reports and Policies


  • Prescribed in the FOA and in the Terms and Conditions of the Award
  • Often required quarterly, semi- annually, or annually

Submitted by authorized or designated representative

continuation applications iprs
Continuation Applications/IPRs
  • Application to continue funding for one or more years
    • CDC’s Interim progress report (IPR) = a continuation application
  • Requested at least 90-120 days before the start date
  • Includes:
    • Report of current year's objectives
    • Objectives for the coming budget period
    • Update on administrative issues
    • Plan, revisions in methodology and/or shift in program focus
    • Evaluation plan
    • Budget and justification
continuations closeouts and more
Continuations, Closeouts and More


  • Term used to describe process to complete one funding announcement

Cost Extension:

  • Time limited extension of budget year/funding award at same or specified funding level

No-Cost Extension:

  • Extension to continue project activities through a certain date without additional funds
supplemental application
Supplemental Application

Application to supplement existing funding for:

  • Expansion of Scope – Treated as…
    • New
    • Competitive, if over $250K or 25% of the award
  • Administrative Increases – Provided for …
    • Increased costs
    • Continued scope

Supplemental requests:

  • Require approval from grants management office
  • Must include itemized budget and narrative
practical tips peer based problem solving
Practical Tips & Peer Based Problem Solving
  • Questions?
  • What is not clear?
  • What has been your experience with grants management offices?
  • How have you handled…?
where to go for more information
Where To Go For More Information
  • Funding Opportunities and guidelines:
  • Division of Payment Management:
  • HRSA HAB: Grants -
  • CDC: Procurement and Grants Office (PGO) -