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INDIANA DEPARTMENT OF HOMELAND SECURITY

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Presentation on theme: "INDIANA DEPARTMENT OF HOMELAND SECURITY"— Presentation transcript:

1 INDIANA DEPARTMENT OF HOMELAND SECURITY
Joe Wainscott, Executive Director

2 Grants Management Grant background Funding Process
Pre-Award Administration Proposals Budgets Authorized Equipment List (AEL) Environmental and Historic Preservation (EHP) Evaluation Active-Award Grant Agreements Reimbursements Quarterly Reports Monitoring Grant Adjustment Notice (GAN) Post-Award Administration Explain that some of this information will be covered in both sections, but it’s important and it doesn’t hurt to hear twice.

3 Authorities for Compliance
Stafford Act 9-11 Act Federal Regulations (44 CFR) OMB Circulars Terms & Conditions of Grant Award Program Guidance DHS Policy FEMA Policy Stafford Act Authorizes Federal assistance for disaster response, recovery, and hazard mitigation. 9-11 Act Sets requirements for programmatic and financial monitoring for each State and high-risk urban area (at least once every two years). Federal Regulations (44 CFR) Regulates FEMA and its programs. Has the force and effect of law. Sets conditions of grant authority for governmental recipients OMB Circulars Provide administrative requirements, cost principles and audit requirements. Terms & Conditions specified in the grant award documents Requires that the recipient (IDHS) agree to allocate and use funds in accordance with the guidance and application kit. And many others, just like your sub-grant agreements. Program Guidance which is released every fall Provides funding requirements and eligible applicants Allowable and unallowable costs Program application process and evaluation Award and reporting requirements DHS Policy and FEMA policy

4 Guiding Regulations OMB Circulars are available online at the following website: State and Local Governments Public and Private Institutions of Higher Education Hospitals Affiliated with Institutions of Higher Education Quasi-Public and Private Nonprofits Public and Private Hospitals Grant Administration 44 CFR 13 & OMB Circular A-102 OMB Circular A-110 Cost Principles OMB Circular A-87 OMB Circular A-21 Audits OMB Circular A-133

5 OMB Circular A-87 Requires that a cost be: Does NOT: Allowable
Necessary to the performance of a project Reasonable Non-profitable Claimed against only one award Permissible under State and Federal laws and regulations Adequately supported by source documentation such as cancelled checks, payrolls, contracts, etc. Does NOT: Supersede limitations imposed by law Dictate how a government should use funds Relieve State and Local governments of stewardship responsibilities for Federal funds OMG Circular A-87 requires that a cost be: Allowable Necessary to the performance of a project Reasonable (DVD vs. Blu Ray) Non-profitable Claimed against only one award Permissible under State and Federal laws and regulations Adequately supported by source documentation such as cancelled checks, payrolls, contracts, etc. OMB Circular A-87 does NOT: Supersede limitations imposed by law – laws overrule OMB Dictate how a government should use funds Relieve State and Local governments of stewardship responsibilities for Federal funds

6 OMB Circular A-133 Consistency and uniformity for the audit of non-Federal entities. Requires that Audits be performed annually*. Identifies a “pass-through entity” that provides a Federal award to a sub-grantee. Top Audit Findings Accounting procedures need improvement Grant reporting requirements not met Grant management procedures need improvement Cash management procedures need improvement OMG Circular A-113 : Sets forth standards for obtaining consistency and uniformity among Federal Agencies for the audit of non-Federal entities expending Federal Awards. Requires that Audits be performed annually, with the exception of special provisions. Identifies a “pass-through entity” as a non-Federal entity that provides a Federal award to a sub-grantee to carry out a Federal program. The top audit findings according to the Office of Justice Programs are: Accounting procedures need improvement Grant reporting requirements are not met Grant management procedures need improvement Cash management procedures need improvement

7 Oversight Regulations, oversight and audit.
Require IDHS to oversee grant related activities. Listed in the agreement, the Administrative Plan and the Guidance for the grant. All Federal and State funds are subject to certain regulations, oversight and audit. Policy indicates that oversight must occur from Federal to State Administrative Agency (SAA), SAA to Project Managers, and Project Managers to Sub-grantees and partners.

8 Business Process - The Grant Lifecycle
Funding Acquisition Program Establishment Application Review Award Monitoring Amendments Payment Requests Reporting Audits Close-Out

9 Funding Appropriation – money set aside by formal action for specific use Apportionment – apportioning of funds among the states according to US law Allotment – funds to the designated SAA Application – submission of formal request for grants funds Award – notification of accepted application Allocation – grant funds distributed at state and local levels Obligation – legal liability to pay under a grant. Expenditure – spending of grant funds Reimbursement – paying funds to reimburse for expenditures An appropriation is a legislative motion which authorizes the government to spend money. It is a bill that sets money aside for specific spending. US DHS guidance must be released within 45 days of that appropriation. Apportionment is how US law determines the amount of funding to be given to each state. OMB creates a formula that will determine this amount that is based on population, risk, need, and others. An allotment of funds is the amount of funding set aside for the State Administering Agency (SAA). In Indiana, that is IDHS. The application, as you know, is the formal request for grant funding. In Indiana, this is done through the Indiana Grants Management System (iGMS). For the federal portion, we must submit through Grants.gov. The notification of an accepted application is the award. It typically takes 90 days for a determination to be made at the Federal level. It takes longer at the State level simply because we request your proposals in February and don’t submit the actual application until April. Which means, we don’t get the award until August or September and the awards don’t trickle down to the districts or counties until a month or two after that. It’s a long process, and we know that…. But there’s not much we can do about it. The allocation step is when grant funds are distributed at the state and local levels. IDHS has 45 days to assign the funds to certain projects and subgrantees. An obligation is grant funding that is set aside for a particular project. For instance, an MOU or subgrant agreement is an obligation of funding. Once the obligation step is completed by having a signed MOU or subgrant agreement, counties or other state agencies are able to spend the funds on the approved items. Expenditures must occur within the performance period of the grant. When expenditures are claimed and proof of purchase is provided, reimbursement can occur. We are unable to front any grant funding as these are strictly on a reimbursement basis. If you have an invoice, you can submit that to IDHS and funding will be provided as quickly as possible. Remember, you cannot receive any funding prior to an event or training occurring, or prior to an item being received.

10 IDHS Process Flow Pre-Award Active Award Post-Award Quarterly Reports
Award posted Proposal/Budget accurately entered and submitted Budget approval (approx. 2 weeks) Correctly identifying the sub-grantee Quarterly Reports GANs Monitoring Close-out

11 Award Management Pre-award Active Award Post-award
Award posted in the iGMS Proposal/budget accurately entered and submitted in the iGMS Budget approval (need to allow time for approval process, approximately 2 weeks) Correctly identifying the sub-grantee (Section II the tax id that is provided by a sub-grantee or contractor has to be the tax id for the entity named in the agreement.) Active Award Quarterly reports GANs Monitoring Post-award Close-out The pre-award phase is when proposals and budgets are entered within the iGMS. Budget approval takes approximately two (2) weeks. We try to get them done sooner, but two (2) weeks gives us plenty of time to review and check AEL’s. It is really important to correctly identify the sub-grantee. This is found in Section two (2) of the proposal. The sub-grantee or contractor name has to be the name or entity validated with the tax id number provided. During the active award period, quarterly reports must be submitted. These reports are due on January 15, April 15, July 15, and October 15. The iGMS has an automatic notification that will send you an on the first day of the month they are due. You will not be able to submit for any reimbursements until all quarterly reports that are due are submitted. GANs and monitoring also occur during the active award period. We’ll go into more depth on those later. The post-award phase is close-out. This is when all funding is de-obligated and we try to wrap up all loose ends to ensure we’re not sending any funding back to DHS.

12 Pre-Award Administration

13 Proposals Request for money or resources. Sections:
Applicant Information Primary Point of Contact Overall Project Justification Baseline Strategy Implementation Impact Optional Attachments A grant proposal is a request for money or resources. The proposal is several distinct sections that must flow together to create a coherent, fluent story. **Green boxes in the iGMS.

14 Applicant Information
Used to prepare the sub-grant agreement. Organization Legal Name Federal Tax ID Principal Executive Officer Title If non-governmental, date of IRS Non-Profit Approval Used to prepare the sub-grant agreement. Should be completed on behalf of the entity legally authorized to enter into a contract or agreement with the State of Indiana. Organization Legal Name – This should be the legal name of the entity that will be responsible for the administration of the grant. Federal Tax ID – This number is used to identify an entity and is assigned by the Internal Revenue Service (IRS). It may also be called an Employer Identification Number. Principal Executive Officer – This individual has been designated as the grant signatory authority by the entity completing the application. For example, the President of the Board of Commissioners would be the Principal Executive Officer for a county. Title – The title or position of the individual serving at the Principal Executive Officer. If Non-governmental, date of IRS non-profit approval - Currently IDHS only issues sub-grants to governmental or non-profit entities. If your entity is not a unit of government, please indicate the date the entity was granted non-profit status by the IRS.

15 Primary Point of Contact
Main contact person for IDHS grants management. Knowledgeable about grants. Individual who will be responsible for iGMS/grant activities. First name Last Name Organization Street 1 Street 2 City State Zip Primary Phone Number Alternative Phone Number Fax County Will be the main contact person for IDHS should there be questions regarding the application/proposal. Should be knowledgeable about grants and the grants process and should be the individual who will be responsible for iGMS/grant activities. The categories listed below are what is required in the iGMS.

16 Overall Project Justification
Management & Administration Direct costs that are incurred to administer a particular grant program/award. Identifiable and unique to each grant program/award and are charged based on the activity performed for that particular project. M&A costs may include: Salaries of full-time or part-time staff or contractors/consultants to assist with the management or administration of the grant program Travel expenses Meeting-related expenses Project Management Defines the personnel responsible for the implementation of the project. Should include: Roles and responsibilities Governance structures Subject matter expertise specifically require for this project. The overall project justification should briefly describe your understanding of the spectrum of terrorism and natural hazard risks your area faces. It should explain how this understanding influenced the development of your proposed project. This section will also talk about the management and administration costs that are to be tied to the project. Many of these project will NOT have M&A expenses, and that is completely acceptable. As a reminder, M&A expenses are direct costs that are incurred to administer the particular project or program. It should be identifiable and unique to each award and charged based on the activity performed for that specific project. Salaries for full-time or part-time staff or contractors or consultants assisting with the manage or administration of the program, travel expenses and meeting-related expenses should be included in M&A. If you hire a contractor or someone to put on a training class, then that will not be included in M&A, it will be included in the Training solution area. This can get very sticky and if you have questions, please call and ask! As far as project management. This section serves to define the individuals responsible for the implementation of the project. Be sure to include each person’s roles and responsibilities, their structure of governance and what subject matter expertise they can provide for the particular project.

17 Baseline Previous funding Purpose statement Description
If included in a previous HSGP request, you must provide the name and the total amount of HSGP funding that was dedicated toward this project. Purpose statement What activities will be implemented and what will be accomplished through the approval of this project. Description Describe the current state of the project, its objectives, and any accomplishments that will be completed prior to the requested funds. Include whether this is a new or ongoing project and describe the capability gap(s) that the project intends to address. The baseline has three specific sections that should be addressed including previous funding, a purpose statement and a description. It should: Highlight any background information related to the project including if it was previously funded, and any progress that has already been made. Identify whether the project is new or ongoing, and needs to include a detailed description of the objectives, key accomplishments, and capability gaps that the project will address within the performance period of the grant.

18 Strategy Goals and Objectives Target Capabilities National Priorities
Identifies how this project supports the Indiana Strategy for Homeland Security and asks for information on how the proposed project would meet those goals and objectives. Target Capabilities Describes how the proposed project would support the target capabilities list identified by the US DHS and asks for information on how the proposed project would meet those capabilities. Can be found at: https://www.rkb.us/hspd8.cfm. National Priorities This area is related to the National Priorities identified by US DHS/FEMA and asks for information on how the proposed project would meet those priorities. The national priorities can be found at: The Strategy section is where you will identify how your proposed project corresponds to identified state and national goals, objectives, capabilities, and priorities. This section consists of three (3) distinct areas: Goals and objectives, target capabilities, and national priorities. The goals and objectives are pre-populated in the iGMS, so when submitting a proposal, you’ll just need to select which ones fit best for your project. The target capabilities specifically detail how the project will support and meet the capabilities laid out by USDHS. And the National Priorities section should identify how your project will support and meet the priorities laid out by USDHS/FEMA.

19 Implementation Funding Plan Accomplishments Challenge Mitigation
Describe how the funds will be used and whether the planned expenditures are appropriate. Total estimated to implement this project during the performance period. Accomplishments Outline key events that will demonstrate progress toward achieving the overall objective of the project. Identify milestones that will lead to the successful realization of the accomplishment and specific challenges that could impact achievement. Should include a clear description of the accomplishment and a specific end date. Challenge Mitigation Explain how the management team will mitigate each of the specific challenges identified. Should explain in detail how the challenges will be mitigated to meet the milestones in order to achieve the key accomplishments of the proposed project. In the implementation section, you are asked to identify how the project will be implemented. There are three distinct areas that applicants are asked to plan for and address. The first is the funding plan. In this section you will need to explain how the project funds will be used. Be sure to include any matching funds. The second section is for accomplishments. This areas asks you to identify key events associated with achieving the overall objective of the project. You will need to identify specific milestone that will mark progress toward the accomplishments. In addition, you will need to identify any challenges that could potentially impact achievement. And you will be asked to describe how the specific challenges identified will be mitigated.

20 Impact Impact on Identified Risk Sustainability
Describe how implementation section will reduce the identified risks. Sustainability Describe any additional sources of funding to be used. Reference impact and how progress will be sustained. The impact section asks applicants to describe how achievement of the accomplishments and completion of the overall project will reduce the risks identified in the overall project justification section. In the sustainability section, you will be asked to describe any additional sources of funding to be used, and future plans or milestone for sustaining the investment. Responses should reference the impact and how progress in addressing the capability gaps will be sustained.

21 Budgets Balance: amount of funding that is available.
Description: provides the description of an item. Solution Area: (see specific grant guidance for information on allowable costs). Planning Organization Equipment (always consult the AEL for eligibility) Training Exercise Management and Administration (please check with Grants Management BEFORE adding M&A expenditures). A budget is generally a list of all planned expenses and revenues. Balance: amount of funding that is available. Description: provides the description of an item. Solution Area: (see specific grant guidance for information on allowable costs). Planning Organization Equipment (always consult the AEL for eligibility) Training Exercise Management and Administration (please check with Grants Management BEFORE adding M&A expenditures).

22 Match The value of contributions and the portion of the costs of a Federally assisted project or program not borne by the Federal Government. All cost-sharing or matching funds claimed against a grant by State or local governments must meet the requirements of the program guidance and/or program regulations. Types of match: Cash (hard) – includes cash spent for project-related costs under a grant agreement. In-kind (soft) – includes contributions of the reasonable value of property or services in lieu of cash which benefit a federally assisted project or program. Match is the value of contributions and the portion of costs of a project or program not borne by the Federal Government. There are two (2) different kinds of match, cash and in-kind, or hard and soft. Cash (hard) – includes cash spent for project-related costs under a grant agreement. Allowable cash match must include only those costs which are allowable with Federal funds in compliance with the program guidance and/or program regulations. In-kind (soft) – includes contributions of the reasonable value of property or services in lieu of cash which benefit a federally assisted project or program. This type of match may only be used if not restricted or prohibited by program statue, regulation or guidance and must be supported with source documentation. Only property or services that are in compliance with program guidance and/or program regulations can be used.

23 FALSE! FALSE! Supplanting
Deliberately reducing State or local funds because of the existence of Federal funds. Discovering supplanting will result in the immediate return of federal funds related to the expenditure and project. Supplanting puts all federal funds at risk. If a county has $300 budgeted for hazardous materials training and is awarded a $500 grant for haz-mat training. They can keep the $300 for something else and use the $500 for their training. True? or False? A federally required audit is done at the county. In previous years, the county budget absorbed those costs using county funding. Because of the financial “crisis,” they can use federal grant funding pay for it. True? or False? FALSE! Supplanting… Supplanting is when State or local funds are deliberately reduced because of the existence of federal funds. This is becoming a big reality recently with local and state budgets being cut. If an agency is found to have supplanted funding, it will result in the immediate return of those funds and may put ALL federal funds at risk. We’ve included two examples here to take a look at: If a county has $300 budgeted for hazardous materials training and is awarded a $500 grant for haz-mat training. They can keep the $300 for something else and use the $500 for their training. FALSE – If a county has $300 already budgeted, the total project must expend the originally $300 plus the $500 in grant funding awarded, so the total project must expend $800 – they cannot remove the original $300 and use it for something else. 2. A federally required audit is done at the county. In previous years, the county budgeted absorbed those costs using county funding. Because of the financial “crisis,” they can use federal grant funding to pay for it. FALSE – If the county has in the past paid for these types of services, they cannot all of a sudden change it to grant funds to free up their local budget. FALSE!

24 Budget Review Allowable Allocable Reasonable Necessary
Necessary and reasonable Conforms to the Cost Principles and grant’s Terms and Conditions Authorized or permitted by law or regulation Treated consistently as a direct or indirect cost Adequately documented Chargeable and assignable to cost categories Incurred solely to advance the work under the sponsored agreement Necessary to the overall operation of the agreement Not charged to other Federal awards Reasonable costs are determined by the prudent person test (i.e., charge amount not excessive and within the bounds of common sense) A cost that is necessary for proper and efficient performance and administration of the grant

25 Cost Categories Personnel Fringe Benefits Travel Equipment Supplies
Contractual Other Indirect Costs Reference Eligible costs document in the folder.

26 Personnel & Fringe Benefits
Basis for determining each employee’s compensation described. Must define each position by employee name and title. Include dates of employment. Fringe Benefits Specify as a separate line. Typically used as match. Personnel hiring, overtime, and backfill expenses are permitted in order to perform allowable planning, training, exercise, and equipment activities. Salaries and personnel costs of planners, exercise coordinators, and/or training coordinators Contractor costs associated with performing the above activities These activities are also subject to the funding and eligibility requirements detailed under the allowable cost categories.

27 Contractual Describe service to be rendered. For individuals:
Hourly, daily, weekly base rate given Allowable, justified, reasonable, and comparable to the market Describe procurement method. In general, the use of SHSP and UASI funding to pay for staff and/or contractor regular time or overtime/backfill is considered a personnel cost. Their hourly, daily, weekly base rates should be given and those expenses should be allowable, justified, reasonable and comparable to others within the market.

28 Travel Necessary for the purpose of the program
Separate travel costs, including transportation, hotel, meals, mileage, etc. Written travel policy If no, must follow State guidelines Travel costs associated to with planning, training, exercise and management and admin is allowable for SHSP and UASI. Costs (e.g., airfare, mileage, per diem, hotel, parking) are allowable as expenses by employees who are on travel status for official business.

29 Equipment Specified by unit and cost
Reasonable and allowable under the project Procurement policy Shipping There are 21 allowable prevention, protection, response, and recovery equipment categories and equipment standards. The web-based version of the Authorized Equipment List (AEL) can be found on the Responder Knowledge Base (RKB) website at https://www.rkb.us. Unless otherwise stated, equipment must meet all mandatory regulatory and/or DHS-adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Earlier this year there were some revisions made with regard to maintenance contracts and warranties. To increase the useful life of the equipment, maintenance contracts and warranties may be purchased using grant funding from one fiscal year to cover equipment purchased with funding from a different fiscal year. The use of grant funding for the purchase of maintenance contracts and warranties must meet the following conditions: Maintenance contracts and warranties may only be purchased for equipment that has been purchased using FEMA preparedness grant funding To avoid supplementing Congressional appropriations for specific programs, maintenance contracts and warranties must be purchased using funds from the same grant program used to purchase the original equipment The term of the maintenance contract or warranty shall not exceed the period of performance of the grant to which the contract is being charged Repair and Replacement Costs. The cost of repair and replacement parts for equipment purchased using FEMA preparedness grant funding is an allowable expense. Repair and replacement parts may only be purchased for equipment that has been purchased using FEMA preparedness grant funding To avoid supplementing Congressional appropriations for specific programs, repair and replacement parts must be purchased using the same grant program used to purchase the original equipment. For more information on the warranties and maintenance contracts, as well as the repair and replacement costs can be found on the information sheet in your folder.

30 Supplies List separately Reasonable Office Training Research Other
Supplies – Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., copying paper, gloves, tape, non-sterile masks, and disposable protective equipment).

31 Other List by major type (space rental, printing, phone, maintenance, etc.) Space rental: If owned by grantee organization, do NOT charge “rental” costs Maintenance costs Square footage and cost per square foot provided Ensure all costs are justified, reasonable and allowable. Other items are also allowable that do not fit into the categories we’ve already covered. For example, exercise expenditures can be used for the costs included in the rental of equipment (e.g., portable toilets, tents, food, gasoline, exercise signs, badges, etc.).

32 Proposal Evaluation District proposals are the foundation for Indiana’s federal grant application. Based on a variety of factors, including: Supported by all members of the District Planning Council Availability of funds National and State strategies and priorities Local needs Eligibility of Request Risk analysis Gap analysis

33 Authorized Equipment List (AEL)
All equipment must have an appropriate AEL number identified. Designates category and type of equipment being requested, as well as eligibility. As stated earlier, there are 21 allowable prevention, protection, response, and recovery equipment categories and equipment standards. All equipment must meet all mandatory regulatory and/or DHS-adopted standards to be eligible for purchase using these funds. The AEL designates categories and the type of equipment being requested, as well as identifies whether it is an eligible cost.

34 Authorized Equipment List (AEL)

35 Authorized Equipment List (AEL)

36 EHP Compliance An Environmental and Historic Preservation Screening Form must be completed for certain items identified on the AEL. Projects must be submitted for EHP approval before initiation. Grantees will provide all relevant EHP materials to IDHS Grants Management via FEMA is required to consider the potential impacts to the human and natural environment of projects proposed for FEMA grant funding. FEMA, through its Environmental Planning and Historic Preservation (EHP) Program, engages in a review process to ensure that FEMA-funded activities comply with various Federal laws. The goal of these compliance requirements is to protect our nation’s water, air, coastal, wildlife, agricultural, historical, and cultural resources, as well as to minimize potential adverse effects to low-income and minority populations. The grantee shall provide all relevant information to ensure compliance with applicable Federal EHP requirements. Any project with the potential to impact natural or biological resources or historic properties cannot be initiated until FEMA has completed the required EHP review. In addition to a detailed project description that describes what is to be done with the grant funds, how it will be done, and where it will be done, grantees shall provide detailed information about the project.

37 EHP Compliance Considerations: Endangered Species Cultural Resources
Historic properties Archaeological sites Air and Water Quality Noise Fish, Habitat & Wildlife Floodplains Wetlands Coastal Zones Agricultural Lands Environmental Justice Socioeconomic Resources Land Use Hazardous Materials Traffic Geology (Topography, Soils)

38 EHP Review Packet Detailed project description
Physical address of structure/facility or lat/long Clear color photographs (ground-level and aerial) Dimensions/acreage/square footage of structure and/or land affected Extent and depth of ground disturbance for: New construction and structure modification Utility line placement Fencing, light posts, etc., installations Height of communication towers Special equipment being used, staging areas, etc. Year building or structure was built (to include buildings or structures that are in the vicinity)

39 Aerial Photographs Obtain an aerial photo - There are multiple online sources for aerial photos, try Google Maps Copy the image and past into Microsoft paint. Use the tools such as line drawing and fill colors, label exactly where the project features will take place. Cut and past completed drawing into Word and include explanatory text.

40 Ground-Level Photo Ground-level photographs should show the installation location and context. Copy the image and past it into Microsoft Paint. Using the tools such as line drawing and fill colors, label exactly where project features will take place. Cut and paste completed drawing into Word document and include explanatory text.

41 Active-Award Administration

42 Receiving the Award Successful proposal submissions result in funding to your district. Once revised budget is submitted and approved, sub-grant agreement will be provided to local jurisdictions. Document serves as the legal means through which funding is provided.

43 Agreements Sub-grant Agreement
Prepared when money is award to local entities (e.g. counties, cities, non-profit entities) All sub-grant agreements must be fully executed (signed by all parties at the state and local level) prior to any funding being obligated. Dates Effective/Signature Date Obligation Date Agreement expiration date The sub-grant agreement is prepared and sent to the local entities when funding is awarded from IDHS. All sub-grant agreements must be fully executed before any funding can be obligated. Counties, or districts, or state agencies should NOT be spending any funding until the agreement has obtained all signatures. On the agreement, you’ll notice three different dates, the effective/signature date, the obligation date and the agreement expiration date. The effective date is the date that the agreement becomes effective, it will match the date of the final signature on the agreement. The obligation date is found in section 6B of the agreement. It states that the sub-grantee shall obligate (which includes, but is not limited to ordering, accepting delivery, installing equipment and full completion of performance of any service agreements or contracts) the funds within six (6) months of the effective date of this agreement or by –and it gives a date- whichever is earlier. This means that all funds should expended within that 6 month (or earlier) time frame. Extensions can be granted, but those must be submitted in writing via the iGMS. IDHS will NOT give any extensions in the last 6 months of the performance period for EMPG or 1 year of the performance period for HSGP. The agreement expiration date is the latest date that IDHS can give the sub-grantee for expenditure of funds. If work is expected to extend past the agreement expiration date, a new agreement will need to be completed.

44 FEA Process Grants Management creates and distributes sub-grant agreement to project manager Project manager distributes agreement to sub-grantee Signed sub-grant agreement returns to Grants Management Sub-grant agreement received, noted in the iGMS and delivered to Legal Services 1 Day Legal services prepares EDS sheet, conducts clearance checks*, legal review/approval obtains fiscal approval and submits for IDHS signature 12 Days IDHS signs agreement and returns to Legal Services 4 Days Legal Services send agreement to Indiana Department of Administration (IDOA) IDOA approves agreement; sends to State Budget Agency (SBA) 3 Days SBA approves agreement; sends to Attorney General (AG) Office ** AG approves agreement**, sends to IDOA 2 Weeks IDOA scans document; sends to Legal Services Legal Services makes copy of agreement; delivers copy to Grants Management Grants Management scans agreement, notes FEA in the iGMS and notifies sub-grantee Fully executed agreement (FEA) available on the iGMS 5 Days * Failure to clear through either the Department of Revenue (DOR) or Department of Workforce Development (DWD) will result in the sub-grant agreement being held until the sub-grantee has resolved the issue. Grants Management will notify sub-grantee of any issues related to clearance checks. ** If form approval has been obtained, this step may be skipped.

45 Avoid BuMpS in the Road Return all documents with original signatures.
Return all pages of the agreement. Ensure compliance with Department of Revenue and Department of Workforce Development requirements. Verify NIMS compliance: For questions, see Verify EMS and Fire reporting compliance (if applicable) For questions, see Return all documents with original signatures. Return all pages of the agreement. Ensure compliance with Department of Revenue and Department of Workforce Development requirements: Auditors office has all required payments up to date. No outstanding liabilities to either department. You will be notified by IDHS, but the corrective action must take place between you and the corresponding agency. IDHS staff will not facilitate a fix due to legal restrictions. Verify NIMS compliance: Make sure all NIMS requirements are met. For questions, see Verify EMS and Fire reporting compliance (if applicable) Make sure all reporting requirements are up to date. For questions, see

46 Stay Organized! Every recipient is different, but staying organized will position you for success. Recommend one binder per grant (2008 SHSP, 2009 EMPG, 2009 SHSP, etc.) Agreements Proposals Budget Reimbursements/disbursements Quarterly reports Correspondence Other pertinent information Every recipient is different, but staying organized will position you for success. Recommend one binder per grant (2008 SHSP, 2009 EMPG, 2009 SHSP, etc.) Agreements (sub-grant agreements, MOUs, amendments) Proposals Budget (original exists in agreement, this would be where the changes and approvals are recorded) Reimbursements/disbursements Quarterly reports Correspondence (any s with others in the district or with grants management staff) Other pertinent information (you will not be penalized for over documentation)

47 Reimbursements All IDHS grants are reimbursement based. Advances are NOT allowed. Requesting a reimbursement is a two part process: Enter the request in the iGMS Upload the proof to the iGMS Payment is sent once the reimbursement request is approved in the iGMS. Payment will occur in approximately 35 days.

48 RFE Frequently Asked Questions
Why can’t I create an RFE? Outstanding quarterly reports Performance period has ended GAN is awaiting approval Outstanding proof of expenditure Grant Agreement is not fully-executed. What can be entered as an invoice? IDHS can only reimburse from an invoice or a receipt. What can be submitted as a proof of expenditure? Auditors report Copy of a cancelled check EFT notification Why can’t I create an RFE? You may have one of the following: outstanding quarterly reports, the performance period has ended, a GAN is awaiting approval, have an outstanding proof of expenditure for a pervious request that has not been uploaded and approved or the Grant Agreement is not fully-executed. What can be entered as an invoice? We can only reimburse from an invoice or a receipt. If the vendor sends you a quote, a purchase order, or a “proforma” invoice we cannot pay from this. If the invoice is related to an exercise please upload the supporting documentation such as an agenda, a sign in sheet, etc. with the invoice. What can be submitted as a proof of expenditure? A proof of expenditure can be 1) an auditors report indicating who was paid, what date they were paid, the amount they were paid, and the check number; 2) a copy of a cancelled check front and back, 3) the EFT notification indicating who was paid, what date they were paid, the amount they were paid, and the deposit number.

49 RFE Frequently Asked Questions
What if the line items in the budget is less or more than what appears on the invoice or receipt? GAN must be completed If I have invoices from different vendors, but are being charged to the same grant can I put them on one Request for Expenditure or do I create an RFE for each invoice? Yes, all invoices can be uploaded to the same RFE. When I go to audit the RFE a black box appears and I cannot audit, Why? Performance period has ended. What if the line items in the budget is less or more than what appears on the invoice or receipt? A grant adjustment notice (GAN) adjusting the monies must be completed. Note: When making budget adjustments it is necessary to delete or edit items lower to make funds available before creating new items. If I have invoices from different vendors but are being charged to the same grant can I put them on one Request for Expenditure or do I create an RFE for each invoice? If all the expenditures are from the same Grant Agreement, the appropriate way is to include all invoices on one RFE request by adding a new item for each vendor. When I go to audit the RFE a black box appears and I cannot audit, Why? The performance period had ended an END DATE GAN must be completed and approved.

50 Grant Adjustment Notice (GAN)
Any project changes and/or correction for any programmatic, administrative, or financial change associated with a grant award. Grantees can initiate the GAN adjustments for the following situations: Performance period extension Scope or objectives modifications Change of authorized representatives (not completed by a GAN) Budget modifications Budget Modifications. Grantees may request modification to the approved budget in order to reallocate dollar amounts among budget categories within the existing award amount. The original award amount may not be increased by this procedure; however, it can be decreased. Movement of dollars between approved budget categories without a GAN is allowable up to ten percent of the total award amount (the ten percent rule), provided there is no change in project scope. A formal request from the grantee for a GAN is required when: 1) The proposed cumulative change is ten percent of the total award amount; 2) The budget modification also changes the scope of the project. Examples include altering the purpose of the project, authorizing use of a subcontractor or other organization that was not identified in the original approved budget, or contracting for or transferring of grant-supported efforts; and 3) If a budget adjustment affects a Standard 424 cost category that was not included in the original budget, a grant adjustment is required. For example, if the direct cost category, "Travel" did not exist in the original budget, the adjustment to transfer funds from the Equipment to Travel requires a grant adjustment notice. NOTE: The ten percent rule applies to the cumulative total. Changes to the Grantee's Authorized Signing Official and/or Official's Contact Information. A grantee may make changes to the person who is responsible for authorizing and signing official documents, (such as award documents, Progress Reports, Standard 424 documents, etc). These changes include name, address, phone number, address, FAX number, cell phone number, title, etc. (changes to the contact is not completed by a GAN any longer, that is done from the home page under contact info. Changes to the Grantee's Contact Name or Key Staff and/or Contact Information. A grantee may make changes to the information for main contacts or key staff. These changes specifically include name, address, phone number, address, FAX number, cell phone number, title, etc. Some reasons for changes to key staff may be: 1) Permanent withdrawal or changes to the main contact (ex: Project Director); and 2) Temporary absence (3 months) of the Project Director (Discretionary & Cooperative Agreements Only) Changes to the Scope of the Grant. A grantee may make minor changes in methodology approach, or other aspects of the grant to expedite achievement of the grant's objectives, without initiating a GAN. However, changes in scope, duration, activities, or other significant areas are changes that require prior approval from the bureau or program office through a grant adjustment notice. These changes specifically include: 1) Altering programmatic activities; 2) Affecting the purpose of the project; 3) Changing the project site; 4) Changes to the organization with primary responsibility for implementation of the grant, contracting out, sub-granting, (if authorized by law) or otherwise obtaining the services of a third party to perform activities which are central to the purpose of the award; and 5) Changes in scopes that affect a grantee's budget, which must follow the budget modifications GAN procedures. Date Changes. A grant adjustment notice is required for a change to the grant period, such as an extension of the project period end date and/or an extension of the expenditure deadline. The grantee may request an extension no more than 12 months beyond the original end date. Request for extensions beyond the 12 month end date requires justification of extraordinary circumstances. Mailing Address Change. A grantee may request a change to the organization's mailing address. Organization Name Change. A grantee may request a change to the organization's name. A grantee cannot request a change to the vendor number and the type of organization, (i.e. profit vs. nonprofit). The obligation date is found in section 6B of the agreement. It states that the sub-grantee shall obligate (which includes, but is not limited to ordering, accepting delivery, installing equipment and full completion of performance of any service agreements or contracts) the funds within six (6) months of the effective date of this agreement or by –and it gives a date- whichever is earlier. This means that all funds should expended within that 6 month (or earlier) time frame. Extensions can be granted, but those must be submitted in writing via the iGMS. IDHS will NOT give any extensions in the last 6 months of the performance period for EMPG or 1 year of the performance period for HSGP.

51 Quarterly Reports Quarterly reports are due 15 days after the close of the quarter: January 15 April 15 July 15 October 15 Successful submission requires: Transmission in the iGMS Signed document sent to IDHS grants management via or fax ( ). Quarterly reports should: Detail obligations/expenditures Provide applicable project data including any perceived or anticipated areas of concern. Mention assessments.

52 Monitoring Federal requirement of 44 CFR § and is a process used to assess programmatic, financial, and business management performance of a grant to ensure: Programmatic objectives are achieved; FEMA grant funds and any required matching funds are expended in ways that meet the provisions of pertinent statutes, regulations, Administrative Requirements, and relevant OMB Circulars; Property and other grant-related resources are appropriately protected; Information provided by the grantee is reliable and accurate. Fiscal and compliance monitoring of planning, procurement and contracts, exercise, administrative and training funds, and compliance with regulations. Programmatic monitoring of sub-grantee progress and operations, including equipment deployment, for project implementation and execution. Federal requirement of 44 CFR § and is a process used to assess programmatic, financial, and business management performance of a grant to ensure: Programmatic objectives are achieved; FEMA grant funds and any required matching funds are expended in ways that meet the provisions of pertinent statutes, regulations, Administrative Requirements, and relevant OMB Circulars; Property and other grant-related resources are appropriately protected; Information provided by the grantee is reliable and accurate. Fiscal and compliance monitoring of planning, procurement and contracts, exercise, administrative and training funds, and compliance with regulations. Programmatic monitoring of sub-grantee progress and operations, including equipment deployment, for project implementation and execution.

53 Monitoring Desk review is a detailed, paper-based review and evaluation of required financial and progress reports, correspondence, and other documentation, including grantee policies and procedures, to substantiate progress and compliance. On-site visit is done to substantiate progress and compliance with laws, regulations and policies, or to provide technical assistance. IDHS determines the locations to visit by the following factors: Amount of grant funding allocated; Historical findings that have been reported; Entity is considered “high risk” based on financial struggles. Who should attend? District Coordinator Entity Auditor (or financial officer) Entity Board of Commissioner member (or any other agreement signatory) Entity Emergency Management officer (EMA Director) Any others invited by Grants Compliance Officer or EMA Director. Desk review is a detailed, paper-based review and evaluation of required financial and progress reports, correspondence, and other documentation, including grantee policies and procedures, to substantiate progress and compliance. On-site visit is done to substantiate progress and compliance with laws, regulations and policies, or to provide technical assistance. IDHS determines the locations to visit by the following factors: Amount of grant funding allocated; Historical findings that have been reported; Entity is considered “high risk” based on financial struggles. Who should attend? District Coordinator Entity Auditor (or financial officer) Entity Board of Commissioner member (or any other agreement signatory) Entity Emergency Management officer (EMA Director) Any others invited by Grants Compliance Officer or EMA Director.

54 Post-Award Administration

55 Reconciliation and Closeout
Once all work is completed and last cash request has been made. Provide written notification and verification that all funds drawn down have in fact been disbursed. Final desk review of the file/account Must maintain grant files for a minimum of three (3) years from the date of closeout. Retention period for equipment records starts from the date of the equipment disposition. Reconciliation and Closeout begins once all work is completed and the last cash request has been made. You must provide written notification and verification, certified by Fiscal office, that all funds drawn down have in fact been disbursed and no respective grant funds remain in the local account. Final desk review of the file/account: Confirm reimbursement requests total grant recipient’s final award total (as adjusted by an additions to or de-obligations of funding); Review the grant recipient’s file to ensure all necessary reports and correspondences are on-hand. Must maintain grant files for a minimum of three (3) years from the date of closeout. Retention period for equipment records starts from the date of the equipment disposition. Equipment shall continue to be used for which it was acquired as long as needed or until disposition takes place, whether or not the project or program continues to be supported by Federal funds.

56 Contact Information Rachel Meyer – Management and Oversight Cindy Battiato – Monitoring Vicki Biddle – Quarterly Reports and Clerical Beth Clark – Budgets, GANs and EHPs Niki Theeuwes – iGMS Technical Assistance Dolly Watkins – Reimbursements, Grant Agreements Mary Fields – Foundation, CTASC (317)


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