1. TechHire Grants Management: The 5 “W’s” of Good Grants Management

2. Facilitator: Speakers:
Ayreen Cadwallader, Workforce Analyst, U.S. Department of Labor
Megan Baird, H-1B Program Manager, U.S. Department of Labor
Keith Hubert, Federal Project Officer, Region 2, U.S. Department of Labor
Charles Cox, Federal Project Officer, Region 4, U.S. Department of Labor

3. The “W’s” of Grants Management
Who: National Program Office and Grants Officer, Regional Offices and FPOs, and YOU!
What: Effective management of your project’s activities, performance outcomes, and grant expenditures.
Where: It takes place in your local service area, with support from the National and Regional office.
When: All the time! From grant implementation to grant completion.
Why: Good grants management leads to success!

4. Let’s Play Mod Libs!

5. Fill in the Blanks! 11. # of Drinks Last Night Most Annoying Celebrity
Favorite Shakespeare Play
Name of Superhero
Online Game
Most Unique 1st Job
Favorite Pastime/Hobby
Lucky #
Repeat Favorite Pastime/Hobby
Measurement of Time
An Awesome Store
11. # of Drinks Last Night
12. Sports Team
13. What You Think ETA Does All Day
14. Name of a Politician
15. # of Hours to Get to DC
16. Size of Largest Family
17. Dream Transport Mode
18. Vacation Destination
19. Reality TV Star
Fill in the Blanks!

7. Grant Modifications

8. Grant Modifications

9. Key Players Grant Officer Grants Management Specialist
Executes final grant
Executes modifications
Maintains official grant files
Grants Management Specialist
Serves as the assistant to the Grant Officer
Works directly with the FPOs
Reviews information for modifications
Recommends approval of actions to the Grant Officer

10. Key Players Federal Project Officer (FPO)
Provides daily customer service to the grantee
POC for the duration of the grant
Conducts oversight (desk and on-site)
Provides guidance as needed
Makes recommendations for grant actions to the Grant Officer

11. Grant Modifications What is a Modification? Why do a Modification?
How to Submit a Modification
Documentation Required
Modification Analysis

12. Mechanism to Change Aspects of the Grant Agreement
What Is a Modification?
Mechanism to Change Aspects of the Grant Agreement

13. Why Do a Modification? Statement of Work Change Budget Realignment
Change Indirect Cost Rate
Change Authorized Representative
Change of Address
Change of Organization/Institution Name
Purchase of Lease of Equipment
Period of Performance Change

14. Initiating a Modification Request
Contact your FPO to discuss the need for a modification and verify documentation needed
Submit draft modification letter and documents to your FPO for review, if so directed
Your FPO (and the Program Office, if appropriate) reviews and provides feedback, as needed
Address FPO feedback and submit Signed modification Request
Modification Request:
Must be submitted on organization’s letterhead
Must be signed by the Authorized Representative
Indicate the purpose and why it’s necessary
How the change will benefit the program
Reflect the guidance provided by the FPO (and others, such as the Program Office, if applicable)

15. Modification Analysis
Is it in the best interest of the government?
Is it in the best interest of the grant?
Is it a clear & persuasive request?
Grantee Mod Request
ETA Objectives

16. Approving Modifications
Once all questions have been resolved and the signed modification request is received, your FPO submits the request for regional management review
Once the regional management team gives approval, your FPO forwards the modification request to your Grant Officer for final review
Your Grant Officer reviews the request and may ask for additional information or revisions.
If there are no additional questions, the Grant Officer approves and signs the modification.
Both you and your FPO will receive an electronic copy of the modification via .
You are now free to implement your requested changes.

17. Questions?

18. Monitoring and Managing your TechHire Grant

19. Monitoring and Managing Your TechHire Grant
2017 TechHire Grantee Meeting

20. Monitoring and Managing Your Grant
Types of Grant Monitoring
On-Site Reviews: The Basics
Purpose of Grant Monitoring
How to Prepare for a Monitoring Visit
On-site Monitoring
Understanding the Monitoring Report
Finding(s)
Area(s) of Concern
2017 TechHire Grantee Meeting

21. Types of Monitoring Quarterly Performance Reviews
Quarterly Narrative Report
Quarterly Performance Report
Quarterly Financial Report
Desk Monitoring Reviews
Grants e-Management System (GEMS)
On-Site Reviews
2017 TechHire Grantee Meeting

22. On-Site Reviews: The Basics
Who conducts On-Site Reviews?
FPO (with additional ETA Staff if needed)
When is the review conducted?
Usually midpoint during your grant’s period of performance
What is the duration of the review?
Usually five days
Notification of Review:
Letter confirming scheduled date of review and Core Monitoring Guide/Review Planning Tool mailed to Grant Recipient
2017 TechHire Grantee Meeting

23. On-Site Reviews: The Basics
What not to do when you receive notification that your grant is about to be monitored.
2017 TechHire Grantee Meeting

24. What is the Purpose of Grant Monitoring?
It is NOT -- “GOTCHA”
It is an opportunity to
Ensure that the Department of Labor grant funded program is aligned with:
Statute/Regulations/Grant terms & conditions
Federal financial and administrative requirements including cost principles
Funding Opportunity Announcement (FOA)
Identify promising practices that can be shared
Identify technical assistance needs
2017 TechHire Grantee Meeting

25. How to Prepare for a Monitoring Visit
Review the Core Monitoring Guide
Five Core Activities
Design and governance
Program / Grant Management Systems
Financial Management Systems
Service/product Delivery
Performance Accountability
2017 TechHire Grantee Meeting

26. How to Prepare for a Monitoring Visit
Review the following:
Funding Opportunity Announcement (aka Solicitation for Grant Application [SGA])
Statement of Work (SOW)
Monthly Reports that have been submitted
Narrative, Financial, and Performance
Subrecipient Reports (if applicable)
Policies and Procedures
Participant Files
2017 TechHire Grantee Meeting

27. On-site Monitoring Structure
Introductory Conference (Day 1)
Review (Days 2-4)
Exit Conference (Day 5)
Preliminary findings and observations
Written Report (45 days following the exit meeting)
2017 TechHire Grantee Meeting

28. On-Site Monitoring What do we look at?
Connection/Compliance to the FOA
Connection/Compliance to the SOW/Grantee Agreement
Performance
Service Delivery
Financial Management
Policies and Procedures
2017 TechHire Grantee Meeting

29. Understanding the Monitoring Report
Written Report (45 days following the exit meeting)
Findings and required corrective actions
Opportunities for improvement, i.e. Area of Concern
Positive observations
2017 TechHire Grantee Meeting

30. Understanding the Monitoring Report
What is a finding?
A finding is any “violation of”
Law
Regulations
Grant agreement
SGA requirement
2017 TechHire Grantee Meeting

31. Understanding the Monitoring Report
Examples of Findings
Changes were made to the Statement of Work without Grant Officer approval
Change in scope or objective
Adding/deleting program component
Adding/deleting subrecipient
Changing target group
2017 TechHire Grantee Meeting

32. Understanding the Monitoring Report
Examples of Findings
Grant funds were used to purchase equipment without Grant Officer approval
Unit cost of $5000 and useful life of one year
Prior approval required even if included in the grant budget
This requirement also applies to subrecipients
2017 TechHire Grantee Meeting

33. Understanding the Monitoring Report
Examples of Findings
Negotiated Indirect Cost Rate Agreement is expired
The Equal Opportunity (EO) requirements are not being fully implemented
The Grant Recipient realigned the budget without prior Grant Officer approval
Subrecipients are not monitored
Project significantly behind schedule in implementing grant activities
Procurement files do not contain required support documentation
2017 TechHire Grantee Meeting

34. Understanding the Monitoring Report
What is an Area of Concern?
Concern about effectiveness or efficiencies
Not related to compliance with law, regulation, FOAs, grant agreements or federal policy
Can relate to performance, services or operational efficiencies/effectiveness
Should convince/compel grantees to take action
2017 TechHire Grantee Meeting

35. Understanding the Monitoring Report
Examples of Area(s) of Concern
Performance Concern
Projected outcomes based on current data
Not mandated by law, regulation or milestones listed in SOW
Service Concern
Business services, involvement of business, involvement of listed partners, quality and timely services, customer access, etc.
Operational Concern
Procedural bottlenecks, staff knowledge, internal security and controls, internal communication, training, policy distribution, etc.
2017 TechHire Grantee Meeting

36. Responding to the Monitoring Report
Grantees have 45 days to respond
Response is submitted to your FPO
Findings will have a “Required Action”
Submission of a modification request
Action plan to address the finding
Evidence the finding has been corrected
Area(s) of Concern do not require a response, but it is advised that you address it in the report
2017 TechHire Grantee Meeting

37. Questions
2017 TechHire Grantee Meeting

38. Managing Your TechHire Grant
Tips for Successfully Managing Your Grant
Review the Grantee Handbook (June 2016)
ETA’S Team Approach to Grant Management – Organizational Roles and Responsibilities
An Overview of Award Documents, Grantee Obligations, and Regulatory Requirements
How to Manage Your Period of Performance
Modifying Grants
Grant Closeout Phase
Evaluation: What do I Need to Know as a Grantee?
2017 TechHire Grantee Meeting

39. Managing Your TechHire Grant
Tips for Successfully Managing Your Grant
Communicate with your FPO
and Telephone
Identify issues early
Recruitment, Financial, and Reporting
Track progress
Document successes and challenges
Don’t be afraid to ask for help or technical assistance
Work with your partners
2017 TechHire Grantee Meeting

40. Managing Your TechHire Grant
Uniform Guidance
Uniform Guidance at 2 CFR Part 200 (effective on Dec 26, 2014) consolidated eight previously applicable OMB Circulars
DOL’s exceptions to the Uniform Guidance are at 2 CFR Part
All new grant awards or grant modifications released on or after Dec 26, 2014 must adhere to the Uniform Guidance
2017 TechHire Grantee Meeting

41. Managing Your TechHire Grant
NEW ETA-9130 Financial Report Form
TEGL issued on July 14, 2016 (TEGL 02-16)
Forms and instructions may be found at:
Implementation Date: QE 9/30/2016
2017 TechHire Grantee Meeting

42. Questions
2017 TechHire Grantee Meeting

43. Monitoring and Managing Your TechHire Grant
2017 TechHire Grantee Meeting