Welcome to Grants Training Speaker: Michelle Bulls, CGMO Director, Grants Policy

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

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.

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/organization’s 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.

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 institution’s Project Director/Principle Investigator (PD/PI).

Pre and Post Award Roles for Program Staff  PO Responsibilities in Pre-Award Administration

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;

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;

Program/Project Officer – Pre Award Responsibilities (continued)  Notify unsuccessful applicants when applications are screened out for program deficiencies.

Pre and Post Award Roles for Program Staff  PO Responsibilities in Post-Award Administration

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.

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.

Program/Project Officer – Post Award Responsibilities  Reviews technical aspects of grantee prior approval requests;  Assist DGO in closing out grants.

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.

Role of Authorized Organizational Representative  AOR is the designated representative of the applicant/recipient organization with authority to act on the organization’s 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.

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;  s are acceptable only if it comes from the appropriate organizational official (business official);  HHS Grants Policy Statement highlights all prior approval requirements.

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.  A&R that exceeds the dollar and percentage threshold;  Refer to HHS GPS, II-49 for additional prior approval requirements

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

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.

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.

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.

Standards for Financial Management Systems Requirements for Financial Systems

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.

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.

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.

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?

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.

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

How Grantee’s 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.

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.

Grants Policy Questions? Michelle Gosha Bulls Director/Chief Grants Management Officer, Grants Policy