Presentation on theme: "A Change in Plans: Grant Modifications"— Presentation transcript:
1 A Change in Plans: Grant Modifications Steve Malliaras, Administrative Officer / Grant OfficerThou M. Ny, Federal Project OfficerDOL-ETA, San Francisco Regional Office
2 Overview What is a grant modification? When is a grant modification necessary?Planning for a modification?
3 What is a Grant Modification? A grant modification is a change toThe statement of workBudget orAgreement
4 Who initiates? ETA may initiate changes from the National Office Grantees may submit modification requests for considerationConsult your FPO to determine if a modification is required
5 Modifications Must BeAllowable, necessary and reasonable (outlined in Federal regulations)Submitted in timely fashionApproved by the Grant Officer before you may act on them
6 Decision Making Mod decisions are made with ETA objectives in mind In the spirit & letter of ETA intent.Needed to get ETA return on investment (grant goals and performance measures)
7 Types of Modifications There are five standard modifications:Statement of WorkBudget RealignmentEquipment PurchaseAlteration or RenovationAdministrative Changes
8 Make a Business Case Basics Grant number Award amount All Mod requests need a dated cover letter, on organizational letterhead, providing:BasicsGrant numberAward amountPeriod of performance
9 Continued An explanation of the issue & what led to it Number of participants enrolled to dateExpenditures to date
10 Continued The specific type of mod requested How the mod will resolve the issue and is necessary to achieve grant goals and performance measuresSignature of the authorized representative
11 What is a Change To A Statement of Work? Any change to theMajor objectives of the projectMajor activities of the projectPerformance outcomesPopulation to be servedOther major component of the project
12 Statement of Work - Example You are a local community college with a Health Care grant award to train 100 participants to become Registered Nurses (RN). You have three years to accomplish your stated goal. Six months into the project, you discovered that some of the students find it difficult to cope with the reading and math required for the RN training and you wish to add a remedial reading and math component to the project to address the need.
13 What is a Budget Realignment? Reallocates grant funds among the budget categories on the SF-424ADoes not change theGrant awardPeriod of performanceMeasures/goals orStatement of work
14 Continued A Budget Realignment Is required for any amount of change to Personnel orFringe benefits orIndirect CostsIs required if changes to other budget line items exceed the budget flexibility provisions outlined in your Grant Award Package (Part IV Special Clauses)10% line item20 % line item
15 Continued Grantee must provide: Cover letter on organization letterheadIdentify the budget categories which are changing and by how muchInclude the current SF-424A budget and a revised SF-424A budgetA revised budget narrativeAny other information requested by the FPO
16 Budget Realignment - Examples Grantee is 11 months into a 12‐month project. 83 of 75 trained & placed. Grant funds are 95% spent. Grantee wants to move $5,000 out of travel and into supplies to buy five laptops (Supplies currently has a $0 budget).Grantee is one year into a 2‐year project. 150 of 300 trained & 100 of 240 placed. Wants to move $10K out of Other (tuition) and into Travel.
17 What is an Equipment Purchase? Tangible propertyDifferent from intellectual propertyUseful life of at least a year Acquisition cost of $5,000 or moreIncludes ancillary costs
18 ContinuedAn Equipment Purchase:Should be budgeted for as equipment in the SF-424A, and be explained in the narrativeRequires prior ETA approval, even if included in the application, grant SOW, budget, other
19 Equipment Purchase - Examples • Grantee is 2 months into a 2‐year project. 0 of 200 trained & placed. Wants to purchase $20,000 in HVAC & welding equipment•Grantee is 32 months into a 3‐year project and wants to purchase a $16,000 network server and two $8,000 lathes.
20 What are Alteration or Renovation Requests? Allowable activities for improvements of training facilities:Ensuring that the facilities comply with Federal architectural accessibility obligations that require facilities to be readily accessible to and usable by qualified individuals with disabilities facilities.Structural improvements or upgrades including the modification, retrofitting or enhancement of interior walls or interior floors to accommodate training courses or equipment.
21 Requesting a Alteration or Renovation Request Grantee must provide:Cover letter on organization letterheadDetailed description of the proposed renovationThe costs associated with the proposed requestAny other information requested by the FPO
22 What is an Administrative Change? A change to general grant or grantee information, such asMailing addressPhone numberContact informationAuthorized Representative
23 Requesting Administrative Changes Grantee must provide:Cover letter on organization letterheadWhat information is changing and whyAn effective date for the changesAny other information requested by the FPO
24 How to Submit Modifications Grantee:FIRST, consult with your Regional FPOThe FPO will work in collaboration to assist in the language and correct actionsRequests needing more information are returned as incompleteRequests with enough information to make a decision move forward to the Grant Officer
25 ETA Roles FPO: Provides grantees with technical assistance Participates in the review processProvides the Grant Officer with recommendation to approve or notCommunicates with grantees
26 ETA Roles Regional Office Reviews Mod requests Forwards recommended modifications to the Grant OfficerDirects FPO to initiate any necessary follow-up with granteeGrant OfficerIf the Grant Officer concurs with recommendation, he/she will issue an approval notice to the grantee