Welcome to Grants Training

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Welcome to Grants Training

• Speaker
• Michelle Bulls, CGMO
• Director, Grants Policy

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Grants Training SDPI Conference, March 7, 2007

• Overview of Roles and Responsibilities for Grants
  and Program Staff
• Overview of Roles and Responsibilities for
  Project Director/Auth. Org. Representative
• Prior Approval Requirements
• Carryover Policy
• Financial Management Requirements for Grantees
• Notice of Grant Award/Terms and Conditions

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Overview of Roles and Responsibilities

• Program and Grants staff each have complimentary
  roles in the grant process
• Program and Grants function as a team to provide
  a unified agency position on every aspect of the
  grant process
• Close coordination between each team member and
  an understanding of the responsibilities is vital
  to program objectives
• Both roles are critical in assuring proper
  stewardship of Federal grant funds.

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Role of Grants Management Office

• Independent from program office
• Provides expertise in the business and other
  non-programmatic aspects of the grants process
• Serves as the counterpart to the grantee
  institution/organizations business office
• Has the overall responsibility for monitoring the
  grants process to ensure that all required
  business actions are performed by the grantee and
  their respective agency prior to and after award.

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Role of Program Officials Pre Award

• Independent from grants office
• Must exercise their professional judgment with
  respect to their program areas
• Key staff resource to DGO and grant recipients
  for programmatic information on
  applications/projects
• Responsible for the technical knowledge of the
  program/project
• Serves as the counterpart to the grantee
  institutions Project Director/Principle
  Investigator (PD/PI).

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Pre and Post Award Roles for Program Staff

• PO Responsibilities in Pre-Award Administration

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Program/Project Officer Pre Award
Responsibilities

• Key in developing program announcements and
  program guidelines
• Set goals and objectives for new program
  initiatives as well as implementation plans
• Consult with Grants Policy and DGO in the concept
  stage before the development of the draft
  announcement
• Provide limited technical assistance to
  applicants in developing their applications

8
Program/Project Officer Pre Award
Responsibilities - continued

• Convenes one or more objective review panels as
  soon as possible after application deadline
• Serves as a primary resource to objective review
  panel
• Assist GMO in ensuring that all business
  management aspects of the application are
  consistent with program needs and project
  requirements

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Program/Project Officer Pre Award
Responsibilities (continued)

• Notify unsuccessful applicants when applications
  are screened out for program deficiencies.

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Pre and Post Award Roles for Program Staff

• PO Responsibilities in Post-Award Administration

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Program/Project Officer Post Award
Responsibilities

• Provides direct consultation and assistance
  concerning programmatic or technical matters
• Conducts site visits in accordance with GMO or
  GMS
• Evaluates programmatic performance for progress
  reports and changes in scope
• Provides written grants monitoring to confirm
  that progress and performance are satisfactory.

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Program/Project Officer Post Award
Responsibilities

• Serves as the focal point for responding to
  technical/programmatic inquiries from grantees
• Upon request, provides input to the GMO on
  business-related matters pertaining to the
  grantee
• Provides programmatic input concerning special
  award conditions
• Thoroughly documents and provides to DGO on-site
  reviews and/or discussions with grantees for
  necessary action and inclusion in the official
  grant file.

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Program/Project Officer Post Award
Responsibilities

• Reviews technical aspects of grantee prior
  approval requests
• Assist DGO in closing out grants.

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Role of Project Director

• An individual designated by the recipient to be
  responsible for technical and programmatic
  aspects of the grant
• A member of the recipient team responsible for
  ensuring compliance with the financial and
  administrative aspects of the award
• Counterpart of the Program Official.

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Role of Authorized Organizational Representative

• AOR is the designated representative of the
  applicant/recipient organization with authority
  to act on the organizations behalf related
  business matters
• AOR signs the face page of the application
• AOR ensures that the organization will assume the
  obligations imposed by the grant regulations,
  terms of the award, and assurances.
• Counterpart to the GMO/GMS.

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Prior Approval Requirements

• Certain post-award changes require prior written
  approval from the business official to the GMO
• Prior written approval must be obtained prior to
  the change not during or after
• Emails are acceptable only if it comes from the
  appropriate organizational official (business
  official)
• HHS Grants Policy Statement highlights all prior
  approval requirements.

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List of Actions that require Prior Approval (not
all inclusive)

• Change of PD/Key Personnel
• Change in Scope from that which was approved in
  the original application
• Change of Grantee Organization
• Carryover Balances that exceed 25 of the total
  approved budget for the current year.
• Deviation from award conditions.
• AR that exceeds the dollar and percentage
  threshold
• Refer to HHS GPS, II-49 for additional prior
  approval requirements

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Prior Approval Requirements

• Phone calls to DGO and Program Official
  requesting prior approval of activities/costs are
  not acceptable and will not be acknowledged
• Emails from someone other than an AOR will not be
  recognized unless the awarding office has the
  individual on record as an appropriate contact.

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Carryover Policy - Requirements

• All carryover funds must be used to support the
  originally approved objectives and goals of the
  grant.
• Carryover balances that are less than 25 of the
  total amount awarded (current year) may be
  carried over without prior approval
• Carryover balances that are greater than 25 of
  the total amount awarded (current year) require
  prior written approval from the recipient to the
  GMO.

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Carryover Policy Requirements

• IHS reserves the right to deny a carryover
  request when it exceeds 25 or even a portion of
  the carryover, as appropriate.
• An approved FSR must be on file with DGO prior to
  the GMO approving a carryover request that
  exceeds 25 of the total award.

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Carryover Policy Requirements

• DGO will issue an NoA to reflect carryover
  amounts for all balances that exceed 25 of the
  total amount awarded
• Grantee must provide detailed budget and budget
  justifications for all balances that exceed 25
  of the total amount awarded.

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Standards for Financial Management Systems

• Requirements for Financial Systems

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Grantee financial systems must enable the
recipient to do the following

• Provide accurate, current, and complete financial
  information about Federal awards and, for
  subawards, reasonable procedures for ensuring
  that subrecipients provide financial reports.
• Maintain records that adequately identify the
  sources of funds for federally assisted
  activities and purposes for which the award was
  used.
• Maintain records that include authorizations,
  obligations, unobligated balances, assets,
  liabilities, outlays and expenditures, and all
  program income.

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Grantee financial systems must enable the
recipient to do the following

• Maintain effective control over and
  accountability for all cash, real and personal
  property, and other assets under the award.
• Safeguard all assets under the award to ensure
  that they are used solely for the authorized
  purposes.

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Grantee financial systems must enable the
recipient to do the following

• Ability to readily identify unobligated balances,
  accelerated, or delayed expenditures, and cost
  transfers.
• Relate financial data to performance data.
• Maintain accounting records that are supported by
  source documents.

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Notice of Grant Award/Terms and Conditions of
Award

• What is the purpose of the Notice of Grant Award?
• What are Terms and Conditions of Award?

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What is the Purpose of a Notice of Grant Award
(NoA)?

• The NoA is the legal binding document that is
  issued to a recipient to notify them that an
  award has been made and that funds may be
  requested from the designated HHS payment system
  or office.
• The NoA may reflect future year funding through
  its project period.
• The NoA may be revised to reflect changes .

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Notice of Grant Award (NoA)

• The NoA sets forth pertinent information about
  the
• including, but not limited to, the following
• Grant Number
• Name of grantee organization
• Name of PD
• Approved project/budget period start and end
  dates
• Amount of funds authorized for obligation
• Names of cognizant GMO, PO, and GMS
• Applicable terms and conditions of awards

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How Grantees Accept Notice of Grant Awards and
Associated Terms

• A grantees indicates acceptance of an IHS award
  and its associated terms and conditions by
  drawing or requesting funds from the designated
  payment system/office.

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Terms and Conditions of Award

• Standard Terms of Award HHS Grants Policy
  Statement, Administrative Requirements
• Special Terms of Award Used to cite specific
  programmatic/administrative requirements
• Special Award Conditions Used specifically for
  High Risk organizations when a grantee
  materially fails to comply with the terms and
  conditions.

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Grants Policy Questions?

• Michelle Gosha Bulls
• Director/Chief Grants Management Officer, Grants
  Policy
• 301-443-6290
• Michelle.Bulls_at_ihs.gov